NAVIGATION SAFETY ADVISORY COUNCIL (NAVSAC) Summary …

NAVIGATION SAFETY ADVISORY COUNCIL (NAVSAC)

Summary Record

November 1-2, 2011

San Diego, CA.

On the call of its sponsor, the 38th

meeting of the Navigation Safety Advisory Council

(NAVSAC) was held on November 1-2, 2011 at the Catamaran Resort and Spa in San

Diego, CA. This record is a summary of the transcripts taken during the two-day session

and summarizes the council’s deliberations, conclusions and actions. Documents are

available for public inspection and copying at the Office of Marine Transportation

System (CG-552), United States Coast Guard (USCG), 2100 2nd

Street, SW, Washington,

D.C., 20593.

The Navigation Safety Advisory Council (NAVSAC) held its November 1-2, 2011,

meeting in San Diego, CA. The meeting addressed outstanding resolutions on Kite

Propulsion Systems (Skysails), autonomous unmanned underwater vessels (AUUVs), and

offshore renewable energy installation (OREI) buffer zones. The NAVSAC was also

briefed on current issues that might impact future Coast Guard policies and regulations

on which advice might be sought from the Council. These included Coast Guard

presentations on the Navigation Rules (NAVRULES) Regulatory project, electronic (e)-

Navigation Strategy, and Electronic Chart Display & Information System (ECDIS)

Anomalies, and public presentations on the Moving Propeller Alert System and Aids to

Navigation concerns in Santa Monica Bay, CA by the American Sailing Association.

Additionally, the NAVSAC was provided with eight task statements regarding Kite

Propulsion Systems (Skysails) Task # 11-01, Offshore renewable energy installations

(OREI) (Task # 11-02),Radar Beacons (RACONs)(Task # 11-03), Sound Signals (Task #

11-04), Electronic Display (ECDIS) Anomalies (Task # 11-05), e-navigation strategy

(Task # 11-06), virtual Aids to Navigation (Task # 11-07), crew fatigue (Task # 11-08).

The NAVSAC was also asked to consider a special report on the Moving Propeller Alert

System. After final review of the tasks, Resolutions 11-04 (Virtual Aids to Navigation),

11-05 (Crew fatigue), and 11-06 (Moving Propeller Alert System) were accepted by the

NAVSAC. Additionally, Resolution 11-03(OREI), accepted at the May 2011 meeting

was revised based on the work group report for Task # 11-02(OREI).

The NAVSAC discussed holding its next meeting in the first part of April 2012 possibly

in Washington, DC. Proposed subjects for the April 2012 meeting included a

comprehensive review of all outstanding resolutions to the NAVSAC and a plan of how

to address them.

DAY ONE: WEDNESDAY, NOVEMBER 1, 2011

The November 1st Transcript can be viewed at USCG Homeport webpage:

http://homeport.uscg.mil/mycg/portal/ep/home.do in the Ports and Waterways mission

tab, then select Safety Advisory Committees, then select NAVSAC best practices.

CAPTAIN DEBRA MARKS ADDRESSES NAVSAC

The Chairman, Captain Debra Marks opened the meeting and solicited introductions from

all members and attendees. This discussion starts on page 2* of the November 1st

transcript. The list of attendees is included as Appendix #1.

CAPTAIN PAULINE COOK, ADDRESSES NAVSAC: Captain Pauline Cook, the NAVSAC Designated Federal Officer (DFO) and the deputy

director for the Marine Transportation Systems Management Directorate (CG-55D) at

Coast Guard Headquarters began by welcoming all the attendees on behalf of Mr. Dana

Goward, director of CG-55 and thanked the members for their service on the council.

Captain Cook also noted the council‘s work on past topics such as Sky Sails, and OREI

buffer zones and looked forward to the NAVSAC‘s work to be done in this meeting.

This discussion starts on page 4* of the November 1st transcript.

MR. MIKE SOLLOSI, ADDRESSES NAVSAC:

Mr. Sollosi updated the council on several developments and outstanding NAVSAC

issues since the May 2011 meeting including discussions on: resolving the backlog of

some 300 outstanding resolutions and plans to review and provide disposition for the

those resolutions before the Spring 2012 meeting; plans to close out the Sky Sails

(Resolution #11-01) and issuance of a navigation and vessel information circular (NVIC)

on the subject; OREI (Resolution #11-02); RACONS; Sound Signals; ECDIS Anomalies;

and a new issue concerning a Moving Propeller Alert System that was presented to the

Coast Guard after the public agenda was published, and recently added to the meeting

agenda. Additionally noted was the recent signing and renewal of the NAVSAC Charter

and pending approval of the 2009/2010 membership slates as well as the proposed 2011

slate all requiring DHS approval. The six membership categories of the Charter were

highlighted with special notice of the Maritime Law Association requiring that body‘s

approval for selected members and the new status of all NAVSAC members as

―representatives‖, with no members further considered as ―Special Government

Employees‖. Additionally, it was noted that Resolution 11-02 on Unmanned Underwater

Vehicles was approved by the Coast Guard with all NAVSAC recommendations from the

May 2011 meeting. This discussion starts on page 5* of the November 1st transcript.

ADOPTION OF THE MAY 2011 SUMMARY RECORD:

The summary record of the May 2011 meeting was unanimously approved. This

discussion starts on page 14* of the November 1st transcript.

OVERVIEW OF PRESENTATIONS, WORKGROUPS AND TASK STATEMENTS

Mr. Mike Sollosi gave an overview of the upcoming presentations, workgroups and task

statements for the November 2011 meeting. He announced forming workgroups for the

http://homeport.uscg.mil/mycg/portal/ep/home.do

eight tasks statements concerning Sky Sails, Offshore Renewable Energy Installation (OREI) Buffer Zones, RACONS, Sound Signals, ECDIS Anomalies, e-navigation

strategy, virtual aids to navigation, crew fatigue plus the additional late request that was

forwarded to the Coast Guard to include a discussion on the Moving Propeller Alert

System. Additionally, Coast Guard and public presentations were announced on the

NAVRULES Regulatory project, the national e-Navigation Strategy, ECDIS Anomalies

issues, and the Moving Propeller Alert System. This discussion starts on page 14* of the

November 1st transcript.

MR. GEORGE DETWEILER, ADDRESSES NAVSAC ON NAVIGATION RULES

REGULATORY PROJECT:

Mr. George Detweiler gave a brief update on the Navigation Rules and the regulatory

changes concerning the Gas Pipeline marking problem that have been made to the

Collision Regulations (COLREGS) and Inland Navigation Rules. This discussion starts

on page 19* of the November 1st transcript. His PowerPoint presentation is attached as

Appendix #2.

MR. MIKE SOLLOSI, ADDRESSES NAVSAC ON THE E-NAVIGATION

STRATEGY:

Mr. Sollosi briefed the council on the efforts being made by the US Coast Guard and

various forums to produce an e-navigation strategy. This discussion starts on page 32* of

the November 1st transcript.

LT DAVE LEWALD, ADDRESSES NAVSAC ON ELECTRONIC CHART DISPLAY

& INFORMATION SYSTEM (ECDIS) ANOMALIES:

LT Lewald briefed the council on upcoming international and U.S. domestic

requirements/regulations for electronic chart carriage and issues with electronic charts. A

motion was made to make a work group for this topic. This discussion starts on page 35*

of the November 1st transcript. His PowerPoint presentation is attached as Appendix #3.

Supporting documents (Letter to Ships‘ Masters, Owners and Operators, and

International Hydrographic Organization Circular Letter 46/2011-ECDIS Data

Presentation Test for Ships, with Background Information attachment)to his power point

are also attached in Appendix #3.

CAPTAIN DEBRA MARKS, BEGINS DISCUSSION OF TASK STATEMENTS:

NAVSAC members began a discussion of the following Task Statements:

Task # 11-01 Skysails

Task # 11-02 Offshore Renewable Energy Installation (OREI) Buffer Zones

Task # 11-03 RACONS

Task # 11-04 Sound Signals

Task # 11-05 ECDIS Anomalies

Task # 11-06 e-Nav Strategy

Task # 11-07 Virtual Aids to Navigation

Task # 11-08 Crew Fatigue

This discussion starts on page 67* of the November 1st transcript.

The Task Statements are attached as Appendix #4.

MR. MIKE SOLLOSI, ADDRESSES NAVSAC ON TASK #11-01, SKYSAILS:

Mr. Sollosi began the discussion on NAVSAC Tasks beginning with Task 11-01,

Skysails, recounting the previous address on this task from the May 2011meeting and

resulting in a NVIC 02-11 entitled Navigation and Aviation Safety with the use of Kite

Propulsion Systems being issued by the Coast Guard. The Task was closed. This

discussion starts on page 67* of the November 1st transcript. The Task Statement is

included in Appendix #4, Task Statements

MR. GEORGE DETWEILER, ADDRESSES NAVSAC ON TASK #11-02,

OFFSHORE RENEWABLE ENERGY INSTALLATION BUFFER ZONES:

Mr. Detweiler gave a description of Offshore Renewal Energy Installation (OREI) Buffer

Zones and potential mitigation measures to reduce the risk of vessel collision with wind

turbines. This discussion starts on page 161* of the November 1st transcript. The Task

Statement is included in Appendix # 4, Task Statements.

MR. MIKE SOLLOSI, ADDRESSES NAVSAC ON TASK #11-03 AND #11-04,

RACONS AND SOUND SIGNALS:

Mr. Sollosi addressed the issue of RACONs and sound signals and proposed that they be

dealt with as one issue. This discussion starts on page 82 *of the November 1st transcript.

The Task Statements are included in Appendix #4, Task Statements.

MR. MIKE SOLLOSI, ADDRESSES NAVSAC ON TASK #11-05, AND #11-06

ECDIS ANOMALIES AND E-NAV STRATEGY:

Mr. Sollosi addressed the issue of ECDIS Anomalies s and e-Navigation Strategy

together what the Coast Guard might go to address the two issues as a whole. This

discussion starts on page 97* of the November 1st transcript. The Task Statements are

included in Appendix # 4, Task Statements.

MR. MIKE SOLLOSI, ADDRESSES NAVSAC ON TASK #11-07, VIRTUAL AIDS

TO NAVIGATION:

Mr. Sollosi addressed the issue of Virtual Aids to Navigation. This discussion starts on

page 97* of the November 1st transcript. The Task Statement is included in Appendix #

4, Task Statements.

MR. MIKE SOLLOSI, ADDRESSES NAVSAC ON TASK #11-08, CREW FATIGUE:

Mr. Sollosi addressed the issue of Crew Fatigue. This discussion starts on page 101* of

the November 1st transcript. The Task Statements is included in Appendix # 4, Task

Statements.

NAVSAC ORGANIZES FIVE WORKGROUPS/COMMITTEES:

Captain Marks announced NAVSAC member assignments into five workgroups to

review the following Task statements:

Task # 11-02 Offshore Renewable Energy Installation (OREI) Buffer Zones

Task # 11-05 ECDIS Anomalies

Task # 11-07 Virtual Aids to Navigation and

Task # 11-08 Crew Fatigue

Tasks 11-04 and 11-05 RACONs and Sound Signals were postponed until November 2

and to be considered together. This discussion starts on page 112* of the November 1st

transcript.

MR. MIKE SOLLOSI ADRESSES NAVSAC ON THE MOVING PROPELLER

ALERT SYSTEM

Mr. Mike Sollosi briefed the NAVSAC on the on the Moving Propeller Alert System and

announced a presentation would be given on November 2. This discussion starts on page

119* of the November 1st transcript.

CAPTAIN ALAN RICHARD PROVIDES WORKGROUP REPORT TO NAVSAC ON

TASK 11-07 VIRTUAL AIDS TO NAVIGATION

Captain Richard provided input on the Task #11-07, Virtual Aids to Navigation

workgroup. The workgroup recommended that Virtual Aids to Navigation be employed

only where it is impracticable to install or maintain a physical aid to navigation, or used

temporarily only until a physical mark can be expeditiously installed. The work group

further noted that virtual aids to navigation must not be driven by budgetary

considerations. This discussion starts on page 119* of the November 1st transcript. The

Coast Guard accepted the workgroup report as resolution 11-04 and is attached in

Appendix #5, Resolutions.

MR. KARL HAUPT PROVIDES WORKGROUP REPORT TO NAVSAC ON TASK #

11-02, OFFSHORE RENEWABLE ENERGY INSTALLATION BUFFER ZONES:

Mr. Haupt provided input on the task #11-02, Offshore Renewal Energy Installation

Buffer Zones workgroup. This discussion starts on page 129* of the November 1st

transcript. The council moved to adopt the recommendations of the report and potential

mitigation measures to reduce the risk of vessel collision with wind turbines. These

recommendations were a revision of resolution #11-03 that had been developed and

approved at the May 2011 meeting to be further considered by the council. The work

group report/resolution is attached in Appendix #5, Resolutions .

CAPTAIN MICHAEL MORRIS, PROVIDES WORKGROUP REPORT TO NAVSAC

ON TASK 11-05, ECDIS ANOMALIES:

Captain Morris provided input on the Task #11-05, ECDIS Anomalies workgroup. This

discussion starts on page 145* of the November 1st transcript. The workgroup report

several navigation safety recommendations on the subject. The council moved to table

the discussion to the spring meeting to revisit and further assess the issue, possibly

presenting at the next International Maritime Organization (IMO) meeting. The work

group report is attached as Appendix #6.

CAPTAIN DEBRA MARKS CALLS FOR ADJOURNMENT OF MEETING FOR

THE DAY:

Page 150* of the November 1st transcript.

DAY TWO: THURSDAY, MAY 5th

, 2011

The May 5th

transcript can be viewed at USCG Homeport webpage:

http://homeport.uscg.mil/mycg/portal/ep/home.do in the Ports and Waterways mission

tab, then select Safety Advisory Committees, then select NAVSAC best practices.

CAPTAIN DEBRA MARKS ADDRESSES NAVSAC

The Chairman, Captain Debra Marks re-opened the meeting and solicited introductions

from all members and attendees. This discussion starts on page 2* of the November 2nd

transcript.

CAPTAIN PAULINE COOK, ADDRESSES NAVSAC: Captain Pauline Cook, began by giving a summation of the previous day‘s work and a

discussion of the tasks for November 2nd

including revisiting ECDIS Anomalies,

discussing Sound Signals and RACONs as well as the upcoming presentation on the

Moving Propeller Alert System. This discussion starts on page 3* of the November 2nd

transcript.

MR. PETE CHISHOLM OF MERCURY MARINE ADRESSES NAVSAC ON THE

MOVING PROPELLER ALERT SYSTEM

Mr. Chisholm of Mercury Marine provided a presentation to the NAVSAC on the

Moving Propeller Alert System. He sought the NAVSAC‘s support of the safety

enhancement of the product, advice on whether conflicts existed with current navigation

rules and finally coordination with the Coast Guard to establish a ruling. This discussion

starts on page 4* of the November 2nd

transcript. His presentation is included as

Appendix #7.

CAPTAIN JERRY EKER, PROVIDES WORKGROUP REPORT TO NAVSAC ON

TASK # 11-08 CREW FATIGUE: Captain Eker provided input on the Task #11-08 Crew fatigue. This discussion starts on

page 37* of the November 2nd

transcript. The council moved to adopt the report. The

Coast Guard accepted the work group report as resolution 11-05 to consider the concerns

presented by the council including a recommendation that the issue be brought to the

attention of the Committee on the Marine Transportation System (CMTS) and presented

at the next National Harbor Safety Committees Conference. Handouts accompanying his

presentations are included as Appendix #8. The work group report/resolution is attached

in Appendix #5, Resolutions.

CAPTAIN ALAN RICHARD PROVIDES WORKGROUP REPORT TO NAVSAC ON

THE MOVING PROPELLER ALERT SYSTEM

Captain Richard provided a workgroup report on the Moving Propeller Alert System.

The NAVSAC adopted the report as resolution 11-06 to consider the concerns presented

by the council. This discussion starts on page 61* of the November 2nd

transcript.

http://homeport.uscg.mil/mycg/portal/ep/home.do

CAPTAIN JAMES HALEY PROVIDES WORKGROUP REPORT TO NAVSAC ON

TASK # 11-03 RACONS AND TASK # 11-04, SOUND SIGNALS:

Captain Haley provided input to the tasks #11-03 RACONs and #11-04 Sound signals,

proposing that the two topics be considered together and tabled for future consideration

without a resolution. The NAVSAC approved this suggestion. This discussion starts on

page 69* of the November 2nd

transcript.

MR. MIKE SOLLOSI SUMMARIZES NAVSAC ACTIONS FOR THE November 2nd

MEETING: Mr. Sollosi, NAVSAC ADFO, reviewed the meeting and actions for the next meeting.

This included: revision of Resolution 11-03(OREI) (accepted at the May 2011 NAVSAC

meeting) based on the work group report for Task # 11-02(OREI); and the acceptance of

new Resolutions 11-04-Virtual Aids to Navigation, 11-05-Crew Fatigue and 11-06 on the

Moving Propeller Alert System. Also noted were: Task Statements 11-03-RACONs, 11-

04- Sound Signals, 11-05-ECDIS Anomalies and 11-06 –e-Navigation Strategy being

tabled to a later date; and the intention to review the outstanding list of resolutions for

validity and proposed action at the next meeting. Resolutions are attached as

Appendix#5. This discussion starts on page 70* of the November 2nd

transcript.

MR. DAVID LUMIAN ADDRESSED THE NAVSAC WITH A PUBLIC

PRESENTATION ON THE AMERICAN SAILING ASSOCIATION

Mr. Lumian addressed the NAVSAC on concerns about the elimination of selected Aids

to Navigation in Santa Monica Bay, California. This discussion starts on page 71* of the

November 2nd

transcript.

SPRING 2012 MEETING LOCATION: Topics, date and location for the fall 2011meeting were discussed. A proposal was made

for the mid April, 2012 in Washington, DC. This discussion starts on page 72* of the

November 2nd

transcript.

ADFO PROVIDES FINAL COMMENT TO NAVSAC ON FUTURE NAVSAC

MEETINGS: Mr. Sollosi, NAVSAC ADFO, gave a briefing on the constraints that the NAVSAC is

guided by namely the requirement to use government meeting facilities whenever

possible. Mr. Sollosi also requested input from the NAVSAC on what issues that it

would like the Coast Guard to address in a priority order. This discussion starts on page

72* of the November 2nd

transcript.

CAPTAIN DEBRA MARKS ADJOURNS MEETING:

Page 76*of the November 2nd

transcript.

*Disclaimer for Transcript: Problems with the taking of the meeting transcript resulted in

an inadequate product furnished to the Coast Guard that could not be rectified. As a

result, the Coast Guard was forced to produce meeting minutes based on individual

attendee‘s notes. Referring to the transcript provides questionable value in most areas.

LIST OF APPENDICES

Appendix 1 NAVSAC Meeting Attendees

Appendix 2 Navigation Rules Resolution Update and Gas Pipeline Marking Problem

Presentation

Appendix 3 Electronic Chart Display & Information System (ECDIS)Presentation

Appendix 4 Task Statements

Appendix 5 Resolutions Virtual Aids to Navigation Presentation

Appendix 6 Electronic Chart Display & Information System (ECDIS) Work Group

Presentation

Appendix 7 Moving Propeller Alert System Presentation

Appendix 8 Handouts for Task #11-08 Crew Fatigue

Appendix 1

November 1-2, 2011 NAVSAC Meeting

List of Attendees

Council Members:

Capt. Debra Marks, Chairman Capt. Lynn Korwatch

Mr. Myles Boothe Mr. Dan Fitzgerald

Ms. Jessica Dennis Capt. Michael Morris

Capt. Jerry Eker Mr. Tom Pascoe

Ms. Elizabeth Gedney Capt. Alan Richard

Capt. James Haley Mr. Robert Sheen

Mr. Karl Haupt Mr. Frank Wiswall

.

Public Attendees:

Captain Pauline Cook, Designated Federal Officer, United States Coast Guard (USCG)

Mr. Michael Sollosi, Assistant Designated Federal Officer, United States Coast Guard

(USCG)

Mr. Pete Chisholm, Mercury Marine

Mr. George Detweiler, USCG

Mr. Dennis Fahr, USCG

LT Dave Leewald, USCG

Mr. David Lumian, American Sailing Association

LCDR Matthew Salas, USCG

CDR Scott Smith, USCG

Ms. Libby Wiswall

Appendix 2

Navigation Rules

Resolution Update and

Gas Pipeline Marking Problem Presentation By

Mr. George Detweiler

Navigation RulesNavigation RulesResolution UpdateResolution Update

andand

Gas Pipeline Marking ProblemGas Pipeline Marking Problem

Navigation Safety Advisory Council

01 November 2011

Previous Resolutions:Previous Resolutions:

• Our office is moving forward with previousNAVSAC recommendations and evaluating andmaking decisions about way forward.

• We continue to look at possibility of• We continue to look at possibility ofincorporating previous recommendations andhave noted differences between COLREGS andInland Rules

Pipeline MarkingPipeline Marking1991 Meeting Minutes1991 Meeting Minutes

NAVSAC raised topic for discussion as a result of 26natural gas pipelines ruptured by “outside forces” inprevious 6 yrs (1985-1991).

These pipelines, although originally buried, had becomeexposed on the seabed through erosion of the seabed.The two most notable incidents, one in 1987 and one inThe two most notable incidents, one in 1987 and one in1989, resulted in 13 deaths from the ignition of releasedgas when the pipelines were struck by vessels fishing inshallow water.

Resolution 91Resolution 91--0101

Per 07-03, resolution 91-01 “recommended themarking of exposed gas pipelines using a system ofmarking which parallels the wording of Annex V,§88.15, except that yellow lights be no further than100 meters apart.”

Problem – dredge pipelines are, according to rulesfloating or supported on trestles, not exposed on seafloor as problematic gas pipelines requiringregulation.

Conflicting AuthorityConflicting Authority

DOT’s Pipeline and Hazardous Material SafetyAdministration (PHMSA) has authority over GasPipelines

• 49 CFR 192.612 & 49 CFR 192.707 Pertain to marking ofGas Pipelines in Marine EnvironmentGas Pipelines in Marine Environment

• PHMSA implemented final rule in 2004 which requirespipeline operators required marking of gas pipelines- It also requires operators to conduct appropriate periodic inspections of thosepipelines, and to take steps to promptly report, mark, and rebury any line found tobe exposed or a hazard to navigation.

Incidents since 2004 Final RuleIncidents since 2004 Final Rule

5 Hazardous Liquid accidents reported toPHMSA caused by vessels

14 Gas Transmission incidents reported toPHMSA caused by vessels (not counting thosePHMSA caused by vessels (not counting thoseresulting from Hurricanes)

ComparisonComparison

Pre NAVSAC Resolution (1991)

26 incidents in 6 yrs

Post PHMSA Final Rule (2004)

19 incidents in 7 yrs19 incidents in 7 yrs

GapsGaps

Is further regulation required?

If so, requires coordination with PHMSA, not amatter of singularly amending NAVRULES.

Identify Gaps in current PHMSA regulations…

QUESTIONSQUESTIONS

“We Help Mariners Get There”

LCDR Megan [email protected] (office)202-372-1991 (fax)

COMMANDANT (CG-5533)ATTN: NAVIGATION STANDARDS DIVISIONUS COAST GUARD2100 2ND ST SW STOP 7580WASHINGTON, DC 20593-7580

NAVSAC Meeting Handbook

11

Appendix 3

Electronic Chart Display & Information System (ECDIS) Presentation By

LT Dave Lewald

ECDIS AnomaliesECDIS Anomalies

Navigation Safety Advisory Council

01 November 2011

What is an ECDIS Anomaly?What is an ECDIS Anomaly?

• A Display ErrorCaused by aFunctionality

Problem within anECDIS.

• A Charting Erroror Data Encoding

Error is not anECDIS Anomaly.

ECDIS Anomaly (ECDIS Anomaly (Con’tCon’t))

DAHLGREN RANGE:

• At Scale Range is Charted Properly.

• Note what happens at Smaller Scale.

• Is this a Depiction Error or an Anomaly?

• How Does the Mariner Know if it is anAnomaly or Chart/Encoding Error?

ENC Data Error & Encoding ErrorENC Data Error & Encoding Error

References:References:

International Hydrographic Office (IHO):

• ECDIS Data Presentation Test for Ships

• IHO Letter to Ships’ Masters, Owners and OperatorsDated: October 2011Dated: October 2011

References (References (Con’tCon’t))

International Maritime Organization(IMO):• IMO’s Maritime Safety Committee (MSC) where it was agreed that further

investigations were necessary. The MSC has issued two circulars that arerelevant

• 1. MSC.1/Circ.1391 – Operating anomalies identified within ECDIS. Thiscircular encourages and requests mariners to inform appropriate authorities ifthey notice any abnormal operation of ECDIS.they notice any abnormal operation of ECDIS.

• 2. Safety of Navigation Circular SN.1/Circ.266/ Rev 1 - Maintenance of ECDISSoftware. This Circular reminds mariners that ECDIS operating softwareneeds to be kept up to date for the latest IHO standards. A particular benefitof upgrading the ECDIS operating software to the latest edition is that allknown software anomalies that have been corrected by the manufacturer willbe included in the latest edition. MSC.1/Circ 1389 - Guidance on Proceduresfor Updating Shipborne Navigation and Communication Equipment is alsorelevant.

QUESTIONSQUESTIONS

“We Help Mariners Get There”

LT R. Dave [email protected] (office)202-372-1991 (fax)

COMMANDANT (CG-5531)ATTN: VISUAL AIDS TO NAVIGATIONUS COAST GUARD2100 2ND ST SW STOP 7683WASHINGTON, DC 20593-7580


12

Appendix 4

Task Statements

No. Subject

11-01 Sky Sails

Addendum to Task Statement 11-01

11-02 Offshore Renewable Energy Installations (OREI)

11-03 RACONS

11-04 Sound Signals

11-05 ECDIS Anomalies

11-06 e-Nav Strategy

11-07 Virtual Aids to Navigation

11-08 Crew Fatigue


13

NAVIGATION SAFTY ADVISORY COUNCIL (NAVSAC)

TASK STATEMENT

Task # 11-01

I. TASK TITLE

Sky Sails

II. BACKGROUND

Sky sails are used to assist propulsion and are designed to reduce fuel consumption

by 15% or more. Sky sails generally consist of three main components: a towing

kite with rope, a launch and recovery system and a control system for automatic

operation. Instead of a traditional sail fitted to a mast, sky sails use large towing

kites that are comparable in shape to paragliders. The tethered flying sky sails can

operate at altitudes between 100 and 300 meters where stronger and more stable

winds prevail. One product is launched by a telescoping mast raising the kite from

its storage container on deck and extending to its full height. The towing kite then

unfolds to its full size and the winch pays out the towing rope until the kite reaches

operating altitude. Recovery is the reverse. When the towing kite docks on the

launch and recovery mast, it is reefed, lowered and stowed in its storage container.

Sky sails are reportedly designed for operation in Beaufort force 3 to 8 conditions.

The system can be recovered but not launched at wind forces below Beaufort 3.

III. PROBLEM STATEMENT

Classification societies consider sky sails to be auxiliary propulsion and their

operation, at present, is not governed by regulation. There is anecdotal evidence of

a helicopter in the North Sea encountering a sky sail just below the cloud base in

the vicinity of an oil platform. There are concerns about ships operating in close

proximity to other ships in areas where sails may foul or entangle. There is also the

potential for maneuvering difficulty when launching or recovering sky sails.

IV. TASK

Review current literature on operation of ships with sky sails.

Propose rules/standards of operation for navigable waters of the U.S.

Consider the need to address in the Navigation Rules.

V. ESTIMATED TIME TO COMPLETE TASK

NAVSAC should provide recommendations by the spring 2012 meeting.


14

VI. COAST GUARD TECHNICAL REPRESENTATIVE

LCDR Megan Cull (CG-5533), Megan/[email protected] , 202-372-1565

mailto:Megan/[email protected]


15

Addendum to Task Statement 11-01. NVIC 02-11 pg 1


16

Addendum to Task Statement 11-01. NVIC 02-11 pg 2


17


TASK STATEMENT

Task # 11-02

I. TASK TITLE

Safe distances from fixed offshore structures

II. BACKGROUND

Industrial development is rapidly expanding into areas that were once the exclusive

domain of the navigator. Offshore renewable energy installations (OREIs),

particularly wind energy areas, are planned for vast stretches of the Atlantic Coast.

One area being considered off the coast of Maryland was situated at the southern

terminus of the traffic separation scheme at the entrance to Delaware Bay. It was

easy to persuade the developers that that location was unsuitable. But the next

question is then, ―What is suitable?‖ There is an international standard for 500

meters safety zone around offshore structures and artificial islands. Experiments in

the UK have revealed that shipboard radars are rendered nearly unusable within 1.5

miles of an offshore wind energy area. Other nations have declared clearances of

two miles from the edge of a TSS or commonly used sea route and a five mile

radius around the terminus of a TSS to be safety zones in which no structures may

be placed.


The Coast Guard has a vested interest in protecting navigation safety but

acknowledges that many other users and uses have a legitimate right to access to the

sea space. We need to develop criteria for determining how best to adjudicate these

often competing demands. And, the Coast Guard feels these criteria should be

developed with input from concerned various concerned sources.

IV. TASK

Review current literature on the effects of offshore structures on navigation.

Evaluate how large vessels could navigate in the vicinity of offshore structures

placed in close proximity to the shore.

Evaluate potential mitigation measures for reducing the risks to navigation or

the risks of an allision with the structures, including safe buffer distances.

Propose criteria for the Coast Guard to apply when considering how close a

structure could be placed to a TSS or commonly used sea route.


18


The Offshore Structures working group should provide recommendations by the

Spring 2012 NAVSAC meeting.


George Detweiler (CG-5533), [email protected], 202-372-1566

mailto:[email protected]


19


TASK STATEMENT

Task # 11-03

I. TASK TITLE

Continued use of Radar Beacons (RACONs) as aids to navigation.

II. BACKGROUND

The Coast Guard operates 109 radar beacons (RACONs) nationwide. These

electronic aids to navigation are typically installed on offshore buoys or structures

to positively identify the buoy or structure on the observing vessel‘s radar. This

occurs as a vessel‘s radar triggers a response from the RACON. The RACON then

transmits a signal that appears as a Morse Code character on the vessel‘s radar as an

azimuth from the location of the RACON. RACONs are also installed on bridges,

usually by the bridge owner, to identify the center of the navigable span.


The Coast Guard is considering discontinuing use of RACONs nationwide as a cost

saving measure and because the next generation of shipboard continuous pulse

radars cannot interrogate a RACON and trigger a reply. Replacing the inventory of

RACONs already in use will cost $8 million.

IV. TASK

Review current uses of RACONs.

Propose a course of action to the Coast Guard.


The RACONS discussion should provide recommendations by the spring 2012

NAVSAC meeting.


LT Dave Lewald (CG-5531), [email protected], 202-372-1549



20


TASK STATEMENT

Task # 11-04

I. TASK TITLE

Continued use of sound signals as aids to navigation.

II. BACKGROUND

The Coast Guard operates 251 electronic (i.e. not wave actuated) sound signals.

The majority of our sound signals sound continuously. Maintaining these aids costs

around $230,000 a year.

There are no sound signals in Florida, Hawaii or Alaska. Other nations, most

recently Ireland, are discontinuing all sound signals, including wave actuated.

The Coast Guard is experimenting with ―Mariner Radio Activated Sound System‖

(MRASS), mostly in the Great Lakes.


The Coast Guard is considering discontinuing use of sound signals nationwide as a

cost saving measure and because current shipboard navigation practice does not use

them.

IV. TASK

Review current value of sound signals.

Propose a course of action to the Coast Guard.


The sound signals discussion should provide recommendations by the spring 2012

NAVSAC meeting.





21


TASK STATEMENT

Task # 11-05

I. TASK TITLE

Electronic Chart Display & Information System (ECDIS) Anomalies

II. BACKGROUND

Recent preliminary investigation indicates that some ECDIS may not display

certain combinations of chart features and attributes correctly and on rare occasions

may fail to display a navigationally significant feature. This appears to be caused

by anomalous behavior in some ECDIS software, especially early versions. The

existence of such anomalies highlights the importance of maintaining ECDIS

software to ensure that operational capability and reliability are maintained. It is

recommended that appropriate checks are made with the equipment manufacturer.

This is of particular importance where ECDIS is the only source of chart

information available to the mariner.

To support safety of navigation, the IHO, which is the intergovernmental

organization responsible for the ECDIS chart and display standards, has produced a

simple dataset comprising two fictitious Electronic Navigational Charts (ENCs) that

allow mariners to check some important aspects of the operation of their ECDIS.


It is believed that some older ECDIS are unable to display important new chart

features recently agreed by IMO such as Particularly Sensitive Sea Areas and

Archipelagic Sea Lanes as these require ECDIS to use the latest version of the

display standards set by the International Hydrographic Organization (IHO). Some

other ECDIS alarms and indications may also not work in certain operating modes

in some equipment.

IV. TASK

Review information on ECDIS anomalies and recommend to the Coast Guard of

future action to take.


Findings should be reported to the spring 2012 NAVSAC meeting.


22





23


TASK STATEMENT

Task # 11-06

I. TASK TITLE

E-Navigation Strategy

II. BACKGROUND

E-navigation leverages transfer of data between and among ships and shore

facilities to expedite traffic, improve navigation accuracy and safety, and to support

both environmental protection and maritime security. There is a worldwide effort

being undertaken under the auspices of the International Maritime Organization

(IMO) and with assistance from other international bodies to develop an e-

navigation strategy to coalesce the various and sometimes disparate efforts aimed at

gathering, processing and communicating marine information.

In April 2010, the Coordinating Board of the Committee on the Marine

Transportation System established an interagency E-navigation Task Team to be led

by the Coast Guard. The purpose of the Task Team was to develop an e-navigation

national strategy in order to harmonize and prioritize Federal activities. The

strategy is intended to prescribe how the US will implement e-navigation concepts

and activities in a cross-agency manner, coordinated with industry and other

stakeholders, and to identify agency roles and responsibilities. The agencies

involved included the Coast Guard, US Army Corps of Engineers, NOAA, National

Transportation Safety Board, DOT/RITA, Maritime Administration, Department of

Homeland Security, Department of Justice, and Oceanographer of the Navy. The

strategy must be consistent with and linked to international e-navigation strategies

and policies. International bodies involved in the development of e-Navigation

include the International Maritime Organization (IMO) the International

Hydrographic Organization (IHO) and the International Association of Marine Aids

to Navigation and Lighthouse Authorities (IALA).


The Coast Guard is seeking input from the Council on the overall direction

proposed in the Strategy and recommendations for next steps.

IV. TASK

Review the DRAFT E-Navigation Strategy

Provide comments and direction to the Coast Guard.


24


NAVSAC should provide recommendations by the Fall 2012 meeting.


Mr Bill Cairns (CG-5532), William [email protected], 202 372 1577



25


TASK STATEMENT

Task # 11-07

I. TASK TITLE

Virtual Aids to Navigation

II. BACKGROUND

A virtual aid to navigation does not physically exist but is a digital information

object promulgated by an authorized service provider that can be portrayed on

navigational systems.‖ IALA defines Virtual AIS-AtoN as follows; ―A Virtual AIS

AtoN transmitted from an AIS station to establish an aids to navigation that does

not physically exist.‖

Virtual AtoN can be used to inform the mariner about dangers to navigation as well

as safe waterways, areas in which extra caution may be necessary and areas to be

avoided. They may be used to represent a line, area, position or other form that

may be displayed graphically. The information, including geographic position,

carried by virtual aids to navigation may be fixed or may be changed over time

(dynamic), depending on the intended purpose.

Virtual AtoN are used primarily where there is a time critical consideration. They

may also be used in places where permanent physical aids to navigation cannot be

sited. They should be reflected in a Local Notice to Mariners or, if appropriate, be

shown on the relevant nautical chart.

Virtual AtoN are not intended to replace physical aids to navigation.


The Coast Guard is seeking input from the Council on the possible, practical

applications of virtual aids to navigation.

IV. TASK

Review literature on virtual Aids to Navigation

Provide comments and recommendations to the Coast Guard.


26


If the Council elects to take on this task, NAVSAC should provide

recommendations by the Fall 2012 meeting.


Mr Mike Sollosi (CG-553), [email protected], 202 372 1545



27


TASK STATEMENT

Task # 11-08

I. TASK TITLE

Crew Fatigue

II. BACKGROUND

At past meetings it was brought to the attention of NAVSAC members that various

navigation safety regulations and the establishment of various navigation safety or

environmental protection measures were having the unintended consequence of

inducing crew fatigue. In particular, compliance with the requirement to slow to

ten knots when navigating in the critical habitat for right whales was imposing an

undue burden on the navigation watch.


A combination of navigation safety and environmental protection regulations is

introducing fatigue on board compliant ships as observed by the operators of these

vessels.

IV. TASK

NAVSAC, if able to document these cases, should inform the Coast Guard that

these regulations are having unintended and dangerous consequences.

Provide comments and recommendations to the Coast Guard.


If the Council elects to take on this task, NAVSAC should provide

recommendations by the Fall 2012 meeting.


Mr Mike Sollosi (CG-553), [email protected], 202 372 1545



28

Appendix 5

Resolutions

No. Subject

11-03 Offshore Renewable Energy Installations (OREI)

11-04 Virtual Aids to Navigation

11-05 Crew Fatigue

11-06 Moving Propeller Alert System


29

Resolution #11-03

(As amended Nov 1, 2011)

Offshore Renewable Energy Installations Work Group

NAVSAC recommends to the Coast Guard:

I. Use MGN 371 (M + F) ―Offshore Renewable Energy Installations (OREIs) –

Guidance on UK Navigational Practice, Safety and Emergency Response

Issues‖ and MGN 372 (M + F) ―Offshore Renewable Energy Installations

(OREIs): Guidance to Mariners Operating in the Vicinity of UK OREIs‖ as

guidance to develop appropriate documentation for assigning criteria for safe

distances and buffer zones for safe navigation with OREIs, specifically the

following sections;

MGN 371 (M+F)

Annex 1 Consideration on Site position, structures and Safety

Zones. 2. Traffic Survey

Annex 3 Template for assessing distances between wind farm

boundaries and shipping routes;

i. Interactive Boundaries (P. 12)

ii. Wind Farm ―Shipping Route‖ Template (P. 13)

II. Additional criterion for assessing risk in proximity of OREIs as described in

MGN 371 Wind Farm ―Shipping Route‖ Template (P.13);

a. Are there Traffic Separation Schemes (TSS) and traditional sea routes and

established ferry and tug/barge traffic routes?

b. Is Vessel Traffic Services (VTS) available?

c. What is the maneuverability of vessels transiting in area under

i. Normal Conditions?

ii. Emergency Conditions: loss of propulsion or steering?

Note: Buffer should be established to meet worst case scenario.

d. Are assist tugs available at/near OREIs?


30

Resolution # 11-04

Report of the

Working Group on Virtual Aids to Navigation

The working group offers the following resolution for consideration by NAVSAC:

BE IT RESOLVED by the Navigation Safety Advisory Council:

WHEREAS, both recreational and professional operators of small craft rely almost

exclusively on physical aids to navigation; and

WHEREAS, large commercial vessels traditionally and continue to use physical aids to

navigation in addition to electronic navigation aids; and

WHEREAS, the council recognizes that there are locations where the installation and

maintenance of physical aids to navigation is impracticable and times when a mark is

needed more expeditiously than a physical aid can be installed.

NOW THEREFORE, he council recommends to the United States Coast Guard that:

Virtual Aids to Navigation be employed only where it is impracticable to install or

maintain a physical aid to navigation, or used temporarily only until a physical mark can

be expeditiously installed.

The use of virtual aids to navigation must not be driven by budgetary considerations.


31

Resolution No: 11-05

Task #11-08

Report of the

Working Group on Crew Fatigue


Vessel crews are increasingly subject to time consuming and fatigue inducing regulatory

actions by federal, state and local entities which impede rest periods and require the

crews to be available beyond their STCW mandated work hours.

The ship‘s crews are facing increased regulation, international, federal, state and local,

which require more boardings by regulatory personnel, and which require more ship crew

time. These increased regulatory actions do not decrease the amount of time that

crewmembers are required to be available.

Instances adding to crew fatigue include the following:

The proliferation of and sometimes compounding of navigation safety, security

and environmental protection regulations/directives has negatively affected crew

fitness;

The carrying out of safe navigation at a reduced speed to protect whales has

required vessel crews to incur a maneuvering stance in advance of the vessel‘s

arrival at port or along coastwise reduced speed areas to protect whales;

The requirement to switch to low sulphur fuels in advance of arrival into port and

after entering whale watch areas has required additional crew to attend to this

regulatory requirement;

The requirement to anchor the vessel at Ambrose anchorage outside of New York,

NY and sequester crew by US Coast Guard prior to entering port on top of the

additional crew to maneuver in the reduced whale watch zone and on top of

additional crew to switch over to low sulfur fuel before even maneuvering into

port / securing from sea, working cargo, getting underway and departing

outbound has incurred up to 36 hours of uninterrupted service of which some of

these regulatory requirements could be duplicated in the enforcement of same;

Sector commands are not consistent in requirements incurred by vessels

specifically, that the port of Houston is requiring an additional crew underway in

pilotage waters to be a lookout and same person cannot be involved with an

anchoring detail which is not prevalent in other USCG controlled sectors; and,

Data shared to USCG in the way of the Electronic Notice of Arrival (ENOA) is

duplicative with documents like crew list that is necessary for Customs and

Border Protection and unfortunately formatted differently requiring two separate


32

documents with similar data, which increases the administrative burden on the

Master.

NOW THEREFORE, the council recommends to the United States Coast Guard that:

The USCG consider cooperation with other agencies that include, but are not limited to,

Customs and Border Protection (CBP), US Department of Agriculture, (USDA),

Maritime Administration (MARAD), Environmental Protection Agency (EPA), as well

as state agencies and consider the impact on overall operations in consideration of best

practices:

USCG Department of Homeland Security should allow consideration of crew

sequestering to be performed at the dock vice at the anchorage for safety and

security of all involved. US Flag vessels that call US ports on a scheduled basis

and that portray a proactive security stance and demonstrate same in the way of

embarked security team, port security profiles of respective ports visited,

stowaway searches conducted and documented along with vessel security briefs

performed prior and post visiting a high risk port.

Posting of additional personnel should be at the risk of vessel management.

USCG can recommend and if deemed required, should be consistent throughout

the US and not in one sector.

Regulator inspections/inspectors should coordinate their visits and inspections to

avoid redundancy and the impression of harassment and duplicative fines. U.S.

agencies involved in regulating the maritime industry have an obligation to

combine regulations and requirements to reduce redundancy.

BE IT RESOLVED by the Navigation Safety Advisory Council:

Consistent with economic impact analysis carried out by the Coast Guard, regulations

and port specific practices/policies need to fully consider crew fatigue issues. When

possible, the Coast Guard should coordinate efforts with various federal and state

stakeholders to avoid duplication. Further, the Coast Guard should encourage other

stakeholders to consider unintended crew fatigue issues throughout the regulatory

development process and consider cumulative effect of multiple regulations and

requirements.

This subject should be brought to the attention of the Committee on the Marine

Transportation System (CMTS) and presented at the next National Harbor Safety

Committees Conference.


33

Resolution No.: 11-06

Report of the

Working Group on Moving Propeller Alert (Warning Lights)


hereas, the Navigation Safety Advisory Council desires to maintain a high level of

safety at sea and upon the roadsteads, harbors, rivers, lakes and inland waterways of the

United States; and

Whereas, the Council is mindful that the Rules of the Road prohibit from sunset to sunrise the

exhibition of lights not specified in the Rules, except such lights as cannot be mistaken

for the lights specified in those Rules; and

Whereas, amber lights are indistinguishable from yellow lights; and

Whereas, the Navigation Rules and Annexes specify the use of both yellow lights,1 including

flashing2 and special flashing yellow lights;

3 and

Whereas, the Pilot Rules (Inland Navigation Rules Annex V, 33 C.F.R. Part 88) provide for the

use of alternately flashing red and yellow lights;4 and

Whereas, the proposed moving propeller warning lights will be installed as close to the waterline

as possible and always below any other light specified in the Navigation Rules; and

Whereas, the Council has viewed the proposed moving propeller warning lights and photographs

of such lights attached to vessels.

Now Therefore, be it resolved by the Navigation Safety Advisory Council, convened in

Plenary Session in San Diego, California, this second day of November, 2011:

The Council finds that the proposed moving propeller warning lights are not prohibited by Rule

20 b. in that the proposed lights —

Cannot be mistaken for the lights specified in the Rules of the Road or the Annexes

thereto;

Do not impair the visibility or distinctive character of the lights specified in the Rules of

the Road or the Annexes thereto; or

Interfere with the keeping of a proper look-out.

The Council expresses no opinion concerning the efficacy of such lights or the wisdom of

installing them.

1 Towing lights.

2 Air-cushion vessel when operating in the non-displacement mode, vessels engaged in fishing with purse

seine gear, and dredge pipelines.

3 Barges pushed ahead on Inland Rules waters.

4 Vessels engaged in government sanctioned public safety activities, and

commercial vessels performing similar functions.

W


34

Appendix 6

Task #11-05

Electronic Chart Display & Information System (ECDIS) Anomalies

Work Group Report By

CAPTAIN Michael Morris

PROBLEM STATEMENT

It is believed that some older ECDIS are unable to display important new chart

features recently agreed by IMO such as Particularly Sensitive Sea Areas and

Archipelagic Sea Lanes as these require ECDIS to use the latest version of the

display standards set by the International Hydrographic Organization (IHO). Some

other ECDIS alarms and indications may also not work in certain operating modes

in some equipment.

TASK

Review information on ECDIS anomalies and recommend to the Coast Guard of

future action to take.

Recommendations

Safety of navigation requires ongoing maintenance of ECDIS.

Establish a system in the US to allow mariners to report anomalies of ECDIS

systems to their respective manufacturers.

USCG should require the latest version of software and chart updates on all SOLAS

vessels coming into US Waters.

USCG should require all SOLAS vessels in US waters to do the IHO ‗ECDIS Data

Presentation and Performance Check for Ships.‘

The USCG should put forward the position of requiring these IHO checks at IMO.

USCG should require all ECDIS manufacturers to keep the USCG informed of their

latest software versions.

Un-supported software/hardware should not be allowed on the bridge of ships.

Spot-checks of ECDIS software to be done by USCG MSO inspection parties


35

Once a vessel is equipped with ECDIS the USCG should give consideration to

adding this equipment to the pre-arrival/departure equipment tests.


36

Appendix 7

Moving Propeller Alert System Presentation By

Mr. Pete Chisholm


37

Appendix 8

Task #11-08

Supporting Documents for Crew Fatigue Presentation By

CAPTAIN Jerry Eker

I:\STW\37\INF-5.doc

For reasons of economy, this document is printed in a limited number. Delegates are kindly asked to bring their copies to meetings and not to request additional copies.

INTERNATIONAL MARITIME ORGANIZATION

IMO

E

SUB-COMMITTEE ON STANDARDS OF TRAINING AND WATCHKEEPING 37th session Agenda item 8

STW 37/INF.5 18 November 2005 ENGLISH ONLY

EDUCATION AND TRAINING REQUIREMENTS FOR FATIGUE PREVENTION,

MITIGATION AND MANAGEMENT

Fatigue

Submitted by the Netherlands

SUMMARY

Executive summary:

This document informs the Sub-Committee on a recently conducted study commissioned by the Dutch Government concerning fatigue and fatigue prevention on board sea-going ships and its preliminary findings

Action to be taken:

Paragraph 19

Related documents:

STW 36/17, paragraph 9.10, MEPC 53/INF.7, MEPC 53/24, paragraph 19.11, ISM Code, MSC/Circ.1014

Introduction 1 This document informs the Sub-Committee among other things on a recently conducted general study commissioned by the Government of the Netherlands concerning aspects of fatigue and fatigue prevention on board sea-going ships. As the study and its findings have not been evaluated fully, only its preliminary findings can be presented at this stage. More details can be made available at MSC 81. Background 2 Interest in fatigue, including lack of sleep, as a factor in accidents at sea has in recent years grown. Accident reports indicate that some accidents, such as collisions and groundings, have happened as a result of fatigue or lack of sleep. Collisions and groundings are the most reported accidents, and comprise of about two third of all reported accidents. Although much is written and said about fatigue on board sea-going ships, general terms are often used as essential objective and detailed statistical data are missing. 3 Next to missing of essential statistical data it was also found that numerous measures to prevent fatigue on board sea-going ships have been introduced in recent years, without a proper analysis if such measures are feasible and/or effective, including their consequences and/or impact to the maritime industry.

STW 37/INF.5 - 2 -

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4 MSC/Circ.1014 states in its introduction to the GUIDELINES ON FATIGUE that effective dealing with fatigue requires a holistic approach. There is no one-system approach to addressing fatigue, but there are certain principles (e.g., workload, rest, lifestyle, habits, and medication) that must be addressed in order to gain the knowledge and the understanding to manage this human element issue. Scope of the study 5 To obtain an objective and more detailed view on fatigue aspects, including possible measures and their consequence and impact, on board sea-going ships a study is carried out with the following objectives:

.1 conduct a desk study based upon all available accidents data and literature, such as national and international studies and documents, to obtain insight in the issue of causality between fatigue and collisions and groundings;

.2 list possible likely and effective measures to control the risk of fatigue; and .3 map out the impact and consequences of possible feasible and effective measures

for the Dutch merchant fleet as a whole and maritime education and training. Preliminary findings of the study Accident data and literature 6 In the study several analyses on national and international accident reports were performed, such as the 1997 – 2005 Dutch Shipping Council investigations1 and IMO Sub-Committee Flag State Implementation (FSI) Working Paper 2 (WP.2), of FSI 9 – 131 and reported on the MAIB Safety Study 1/2004 “Bridge Watchkeeping Safety Study” (July 2004) – based upon collisions, groundings, contacts and near collisions between 1994 and 20031, the Swedish maritime Safety Inspectorate study “Ships with only two navigators onboard” (22 September 2004) – based upon collisions and groundings in the years 1997 - 20021 as well as on a significant number of available relevant national and international publications. 7 The available accident reports and available publications indicate that approximately 11-25% of the collisions and groundings were, directly or indirectly, influenced by fatigue or lack of sleep. In absolute figures and in relation to the total number of ships and the total number of movement of ships the number of fatigue related collisions and groundings was found to be low. In several of the aforementioned cases, due to lack of clarity in the available information, a sound causal correlation with fatigue could not be determined. A distance relation between other human error-related collisions and groundings and fatigue could not be excluded. Similar to the commonly accepted figure for the human error for all industries, 60% – 80% of the collisions and groundings were found to be related to “human error”.

1 It should be born in mind that most of these accident investigations were based upon the regulations in force at

that time, therefore often the effects/influence of new positive instruments such as the ISM Code, STCW95, Port State Control inspections on ILO 147 and ILO 180 and the use of MSC/Circ.1014 are not noticeable.

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8 The reports have also been analysed as to the relation between the shift system in place and the occurrence of fatigue-related incidents. Apart from the analyses already performed by the MAIB study, the Dutch Shipping Council investigations could be used to study this relation more extensively. Although the latter data suggest that the two-shift system was more prone to groundings and collisions, the number of incidents was too small to draw this conclusion. 9 In both accident data analysis and in the literature study it was found that fatigue is created by several causes, such as:

.1 physical load, a.o. caused by long working hours, interrupted sleep, growing workload;

.2 perceptual work load, a.o. work load during watchkeeping, i.e., to deal with many

signals, to take decisions at the right moment, continuous alertness, the burden of high frequency inspections, criminalization of seafarers, obstructions with regard to shore leave; and,

.3 health, a.o. unhealthy lifestyle (overweight, lack of exercise, alcohol abuse),

ineffective use of rest periods, not recognizing fatigue. Possible likely and effective measures to control the risk of fatigue 10 With regard to controlling the risk of fatigue the following bottlenecks were identified: a. General: fatigue is an undefined term and the following categories can be identified: acute fatigue – effects of a single duty period, cumulative fatigue – occurs when there is inadequate recovery between duty periods and circadian rhythm effects – impact of a human circadian rhythm that is not aligned with the day-night cycle. Therefore there is no likely single preventive measure for all these categories of fatigue. b. Specific:

.1 work and rest schedule; .2 pressure of time, physical load; .3 perceptive mental burden; .4 health; and .5 manning composition.

c. Administrative burden: Another element identified as a contributing bottleneck to the risk of fatigue is the growing workload caused by the administrative burden. Examples for this growing administrative burden are a.o. the administrative process resulting from the ISM Code, ISPS Code, MARPOL, GMDSS, number of official inspections (e.g., Port State Control, ISM audits), non-official inspections (e.g., vetting, cargo hold/tank inspections) and growing number of port/shore related documents. As this burden is partly created by IMO instruments, IMO can partly resolve this itself.

STW 37/INF.5 - 4 -

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11 Although all identified measures have not been evaluated satisfactorily yet, it appears to be an effective approach to enhance fatigue prevention through the ISM Code/Safety Management System. With the broad spectrum of the SMS a substantial part of the wide variety of potential causes of fatigue can be covered. Through the SMS, fatigue prevention can be managed in a comprehensive way, fitting in with the policy and specific organizational situation of the Company. The feedback from and periodical review of the SMS will enable the master and crew, the Company and the flag State authorities to take proper and timely action when needed. 12 Elements (non-limitative) identified which are or can be part of the SMS to control the risk of fatigue are the following:

.1 extend the period of rest through e.g., more flexible working schedule or alternative manning composition (e.g., use of dual capacity officers, if circumstances require, when a temporary alternative watch system can be introduced;

.2 optimize the organization of work e.g., attune nature and scale of work with

available crew, optimize distribution of work on board, attune competencies with tasks, proper division of tasks/range of duties per position;

.3 proper personnel management, e.g., correct competencies, matching crewmembers,

dual capacity trained crew, enlarging self-discipline of the crew; .4 introducing a tool for fatigue prevention, e.g., based upon MSC/Circ. 1014 –

Guidance of Fatigue Mitigation and management; and .5 alcohol policy – to avoid alcohol abuse.

13 Other elements which could contribute in controlling the risk of fatigue are, national occupational health and safety legislation, the reduction of the administrative burden (including number of inspections), shifting tasks from ship to shore (e.g., administrative work, maintenance), the length of and the ratio between the period that the seafarer is on board and the period that she/he is at home, and last but not least education and training. In the Netherlands fatigue prevention related issues such as work planning and managing crew are part of the curriculum of the Ship Management Course2. Also elements such as a.o. ‘healthy’ ship design – reducing level of noise and vibrations, promotion of health on board and work saving adaptations and using new technological developments, e.g., Bridge Navigational Watch Alarm System (BNWAS) and Voyage Data Recorder (VDR) (to improve compliance) will contribute to controlling the risk of fatigue. Impact/consequences of measures taken 14 Before enhancing existing measures or introducing new measures as mentioned above, it is of most importance to map out its impact or consequences. For this purpose a study on the impact of the measures to be expected, most needed, feasible and effective is part of the overall study.

2 Successfully passing this course is part of the requirements to obtain a Netherlands Certificate of Competency at

the management level.

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15 Unfortunately the results of this aspect were not finalised at the moment of drafting this document. Conclusion 16 In the reports and publications there is lack of clarity concerning the role of fatigue in relation to collisions and groundings to determine a sound causal correlation between fatigue and such accidents. 17 However, it is clear that fatigue, as a risk, results in impaired performance and diminished alertness. Fatigue is not only a risk for crewmembers carrying out navigational tasks, but also applies to the other areas, where it may threaten occupational health and safety, on board sea-going ships and is a complex and broad subject. 18 A good starting point in enhancing the control of the risk of fatigue is to enhance the integration of fatigue prevention measures, e.g., based upon MSC/Circ.1014 - GUIDANCE ON FATIGUE MITIGATION AND MANAGEMENT, in the Safety Management System under the ISM Code. Action requested of the Sub-Committee 19 The Sub-Committee is invited to note the information provided.

_______________

I:\MSC\74\15.DOC

For reasons of economy, this document is printed in a limited number. Delegates are kindly asked to bring their copies to meetings and not to request additional copies.


IMO

E

MARITIME SAFETY COMMITTEE 74th session Agenda item 15

MSC 74/15 12 February 2001 Original: ENGLISH

ROLE OF THE HUMAN ELEMENT

Report of the Correspondence Group on Fatigue

Submitted by the United States

SUMMARY

Executive summary:

This document provides the report of the Correspondence Group on Fatigue

Action to be taken:

Paragraph 10

Related documents:

MSC 72/23 and MSC 71/23

Terms of Reference 1 The Maritime Safety Committee, at its seventy-second session agreed that the Correspondence Group on Fatigue should continue its work in accordance with the following new terms of reference (as contained in MSC 72/23, paragraph 15.4):

.1 to continue the development of practical guidance on fatigue to all relevant parties, taking into account the following:

.1 each module should be self-contained;

.2 module 1 should contain general information on, and fundamental aspects of, the subject of fatigue;

.3 the title of module 2 should be changed to “Fatigue and the rating”;

.4 existing module 8 should be used as an appendix and not be numbered

separately, in order to facilitate the addition of new modules as they are developed;

.5 two new modules pertaining to maritime pilots and tugboat personnel

should be developed; and

.6 references to mandatory instruments should be highlighted in an appropriate manner;

MSC 74/15 - 2 -

I:\MSC\74\15.DOC

.2 to develop case studies and examples for each module as appropriate which should be highlighted in an appropriate manner;

.3 to make proposals on the best use of the information contained in the modules and

ensure that the information is presented in a “user-friendly” format; and

.4 to submit its report, containing the draft guidance, to the Committee at its seventy-fourth session.

Conduct of Correspondence Group 2 Members of the Correspondence Group included twenty-two (22) Administrations: Australia, Canada, China, Denmark, Finland, France, Germany, Italy, Japan, Korea, Liberia, Marshall Islands, Netherlands, New Zealand, Norway, Poland, Romania, Singapore, Sweden, South Africa, United Kingdom, United States; one (1) inter-governmental organisation: International Labour Organisation (ILO); and eight (8) Non-governmental Organizations: International Association of Classification Societies (IACS), International Association of Independent Tanker Owners (INTERTANKO), International Confederation of Free Trade Unions (ICFTU), International Council of Cruise Lines (ICCL), International Federation of Shipmasters’ Associations (IFSMA), International Maritime Pilots’ Association (IMPA), International Ship Managers Association (ISMA), and the International Shipping Federation (ISF). 3 The Correspondence Group members continued the development of one set of Guidelines composed of nine modules and one Appendix. The Modules are as follow:

Module 1 Fatigue Module 2 Fatigue and the Rating Module 3 Fatigue and the Ship’s Officer Module 4 Fatigue and the Master Module 5 Fatigue and the Training Institution and Management Personnel

in charge of Training Module 6 Fatigue and the Shipowner/Operator/ Manager Module 7 Fatigue and the Naval Architect/Ship Designer Module 8 Fatigue and the Maritime Pilot Module 9 Fatigue and Tugboat Personnel Appendix Fatigue-related Information

4 Following the same strategy used with the preliminary drafts submitted to MSC 72, the Modules went through a series of iterations allowing the members to comment on the content of each Module. The draft Modules and the Appendix (contained in Annexes 3 through 12) reflect those comments and changes made by the Correspondence Group members. Structure of the Guidelines 5 Annex 2, Introduction contains the introductory information to the Guidelines: objective, organization, how to use the modules, and provisions for updates. It is important that these Guidelines be updated periodically as research reveals new information to deal with the issue of fatigue.

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6 Annexes 3 through 11 contain the draft Modules. Each Module is self-contained and is geared towards a specific group of interested parties, such as: master, ship’s officer, rating, maritime pilot, etc. Each individual Module has been provided with a Foreword containing a short statement on the content and the intent of the Module, and the relationship with the other Modules. 7 Annex 12 contains the draft Appendix. The Appendix has been divided in various appendices containing fatigue-related information. Also, in addition to providing the References at the end of each Module, they have been grouped together in the Appendix for easy reference. 8 Case studies have not been included for several of the Modules. Some Correspondence Group Members questioned the value that they will add to the individual Modules. Since the Guidelines are a living document, as explained in the introduction, “Case Studies” may be added at a later date if deemed necessary. Use of the Information 9 Annex 1 contains a Draft MSC Circular letter urging governments and international organizations to disseminate the Guidelines. A member of the Correspondence Group suggested that governments be invited to arrange a national “Fatigue Day” to attract attention to the issue and to the information contained in the Guidelines. Action requested of the Committee 10 The Maritime Safety Committee, at its seventy fourth session, is invited to:

.1 approve the draft MSC Circular (Annex 1) and attach the Guidelines (Annexes 2 to 12) to the Circular;

.2 invite the Marine Environment Protection Committee to approve the draft circular

as a joint MSC/MEPC Circular; and .3 approve the report in general.

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ANNEX 1

DRAFT MSC CIRCULAR

GUIDANCE TO PARTIES WHO MAY AFFECT THE ISSUE OF FATIGUE AND ENFORCE INSTRUMENTS

1 The Maritime Safety Committee, at its seventy-first session (19 to 28 May 1999), considered the issue of human fatigue and the direction where IMO efforts should be focused. In this regard, it was agreed that practical guidance should be developed to provide appropriate information on fatigue to all parties concerned. This guidance should inform each Party that has a direct impact on vessel safety (naval architects, owners/operators, masters, officers, ratings, training institutions, etc.) of the nature of fatigue, its causes, preventive measures and countermeasures.

2 Accordingly, the Maritime Safety Committee, at its seventy-fourth session (30 May 2001) approved the annexed guidelines, composed of self-contained Modules, each addressing a different party. The Modules have been assembled using existing information, in a useful format, for transmission to the different parties who have a direct impact on vessel safety.

3 Member Governments are invited to:

.1 bring the attached guidelines to the attention of their maritime Administrations and relevant industry organizations and to all other parties who have direct impact on vessel safety; and

.2 use this guidance as a basis for developing various types of tools for dissemination

of the information given in the guidelines (such as: pamphlets, video training modules, seminars and workshops, etc.).

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ANNEX 2

GUIDELINES ON FATIGUE

INTRODUCTION

Foreword Fatigue can be defined in many ways. However, it is generally described as a state of feeling tired, weary, or sleepy that results from prolonged mental or physical work, extended periods of anxiety, exposure to harsh environments, or loss of sleep. The result of fatigue is impaired performance and diminished alertness. The effects of fatigue are particularly dangerous in the shipping industry. The technical and specialized nature of this industry requires constant alertness and intense concentration from its workers. Fatigue is also dangerous because it affects everyone regardless of skill, knowledge and training. Effectively dealing with fatigue in the marine environment requires a holistic approach. There is no one-system approach (canned solution) to addressing fatigue, but there are certain principles (i.e. lifestyle habits, rest, medication, workload, etc.) that must be addressed in order to gain the knowledge and the understanding to manage this human element issue. OBJECTIVE The human element, in particular fatigue, is widely perceived as a contributing factor in marine casualties. The Exxon Valdez, one of the worst maritime environmental disasters in the last two decades, is one of the many mishaps where fatigue was identified as a contributing factor. To assist in the development of a marine safety culture by addressing the issue of fatigue, the International Maritime Organization (IMO) has developed practical guidance to assist interested parties to better understand and manage the issue of “fatigue.” The philosophy behind the development of the guidance was not to develop new information but rather assemble what already exists, in a useful format, for transmission to those parties who have a direct impact on vessel safety. The outline of the information is related to the potential dangers associated with fatigue and ultimately the effect on the health and safety of the personnel working on ships. The guidelines contain information on the symptoms and causes of fatigue, and address solutions to combat fatigue to improve the associated health problems and help prevent a fatigue related accident from occurring.

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ORGANIZATION The guidelines are composed of Modules each devoted to an interested party. The modules are as follow:

1. Module 1 Fatigue 2. Module 2 Fatigue and the Rating 3. Module 3 Fatigue and the Ship’s Officer 4. Module 4 Fatigue and the Master 5. Module 5 Fatigue and the Training Institution and Management

Personnel in charge of Training 6. Module 6 Shipboard Fatigue and the Owner/Operator/Manager 7. Module 7 Shipboard Fatigue and the Naval Architect 8. Module 8 Fatigue and the Maritime Pilot 9. Module 9 Fatigue and Tugboat Personnel 6. Appendix Fatigue related documentation

HOW TO USE THESE MODULES Although all Modules are self-contained, it is recommended that all parties become familiar with Module 1, which contains general information on fatigue. In other instances it will be beneficial that the reader (interested party) becomes familiar with other Modules outside of the immediately applicable one. FUTURE WORK These Guidelines are a living document; they should be updated periodically as research reveals new information and new methods are uncovered to deal with the issue of fatigue. Further, the present structure – self-contained Modules – allows for the creation of new Modules directed to other interested parties.

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ANNEX 3

GUIDELINES ON FATIGUE MODULE 1

FATIGUE

Foreword

The Guidelines on Fatigue contain practical information that can assist interested parties (Naval Architects/Ship designers, owners/operators, Masters, Officers, other crew members and training institutions) to better understand and manage fatigue. The guidelines provide information on the potential dangers of fatigue and ultimately the effect on the health and safety of the personnel working on ships. The guidelines contain information on the symptoms and causes of fatigue, and address solutions to combat fatigue in order to improve associated health problems and prevent fatigue related accidents from occurring. The guidelines have been divided into nine modules, as follows: 1. Module 1 Fatigue 2. Module 2 Fatigue and the Rating 3. Module 3 Fatigue and the Ship’s Officer 4. Module 4 Fatigue and the Master 5. Module 5 Fatigue and the Training Institution and Management

Personnel in charge of Training 6. Module 6 Shipboard Fatigue and the Owner/Operator/Manager 7. Module 7 Shipboard Fatigue and the Naval Architect/Ship Designer 8. Module 8 Fatigue and the Maritime Pilot 9. Module 9 Fatigue and Tugboat Personnel 10. Appendix Fatigue related documentation It is recommended that all parties become familiar with Module 1 prior to using Modules 2 – 9. Module 1 (Fatigue) contains general information on the subject of fatigue – definitions, causes, effects, etc.


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Guidelines on Fatigue Module 1

FATIGUE

1. INTRODUCTION

For many years, fatigue was discounted as a potential cause of or contributor to human error. One reason for this misunderstanding was the old myth that fatigue could be prevented by various characteristics: personality, intelligence, education, training, skills, compensation, motivation, physical size, strength, attractiveness, or professionalism. However, recent accident data and research point to fatigue as a cause of and/or contributor to human error precisely because of its impact on performance. Human error resulting from fatigue is now widely perceived as the cause of numerous marine casualties, including the worst maritime environmental disaster in the last century, the Exxon Valdez.

The negative effects of fatigue present a disastrous risk to the safety of human life, damage to the environment, and property. Because shipping is a very technical and specialized industry, these negative effects are exponentially increased, thereby requiring seafarers’ constant alertness and intense concentration. This module provides a general overview of fatigue, its causes, and its potential effects on maritime personnel. The key issue addressed within this module is that fatigue is a fundamental problem for the maritime industry as it detrimentally affects performance at work.

2. DEFINING FATIGUE

There is no universally accepted technical definition for fatigue. However, the commonality among all the definitions is the degradation of performance. The following definition is found in IMO’s MSC/Circ.813/MEPC/Circ.330, List of Human Element Common terms:

“A reduction in physical and/or mental capability as the result of physical, mental or emotional exertion which may impair nearly all physical abilities including: strength; speed; reaction time; coordination; decision making; or balance.”

3. FATIGUE AND LIFE ON A SEAGOING SHIP Fatigue is a problem for all 24-hour a day transportation modes and industries, the marine industry included. However, there are unique aspects of seafaring that separate the marine industry from the others.

First, the average seafarer spends between three to six months working and living away from home, on a moving vessel that is subject to unpredictable environmental factors (i.e. weather conditions). Second, while serving on board the vessel, there is no clear separation between work and recreation. Third, today’s crew is composed of seafarers from various nationalities and backgrounds who are expected to work and live together for long periods of time. The operational aspects associated with shipping become more complex compared with standard industries, for reasons such as: variety of ship-types, pattern and length of sea passage, port-

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rotation, and length of time a ship remains in port. All these aspects present a unique combination of potential causes of fatigue.

4. CAUSES OF FATIGUE

The most common causes of fatigue known to seafarers are lack of sleep, poor quality of rest, stress and excessive workload. There are many other contributors as well, and each will vary depending on the circumstance (i.e. operational, environmental). There are many ways to categorize the causes of fatigue. To ensure thoroughness and to provide good coverage of most causes, they have been categorized into 4 general factors.

• Crew-specific Factors • Management Factors (ashore and aboard ship) • Ship-specific Factors • Environmental Factors

A. Crew-specific Factors

The crew-specific factors are related to lifestyle behavior, personal habits and individual attributes. However, fatigue varies from one person to another and its effects are often dependent on the particular activity being performed. The Crew-specific Factors include the following:

• Sleep and Rest - Quality, Quantity and Duration of Sleep - Sleep Disorders/Disturbances - Rest Breaks

• Biological Clock/Circadian Rhythms • Psychological and Emotional Factors, including stress

- Fear - Monotony and Boredom

• Health - Diet - Illness

• Stress - Skill, knowledge and training as it relates to the job - Personal problems - Interpersonal relationships

• Ingested Chemicals - Alcohol - Drugs (prescription and non-prescription) - Caffeine

• Age • Shiftwork and Work Schedules • Workload (mental/physical) • Jet Lag


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B. Management Factors (ashore and aboard ship) The Management Factors relate to how ships are managed and operated. These factors can potentially cause stress and an increased workload, ultimately resulting in fatigue. These factors include:

1. Organizational Factors

• Staffing policies and Retention • Role of riders and shore personnel • Paperwork requirements • Economics • Schedules-shift, Overtime, Breaks • Company culture and Management style • Rules and Regulations • Resources • Upkeep of vessel • Training and Selection of crew

2. Voyage and Scheduling Factors

• Frequency of port calls • Time between ports • Routing • Weather and Sea condition on route • Traffic density on route • Nature of duties/workload while in port

C. Ship-specific Factors

These factors include ship design features that can affect/cause fatigue. Some ship design features affect workload (i.e. automation, equipment reliability), some affect the crew’s ability to sleep, and others affect the level of physical stress on the crew (i.e. noise, vibration, accommodation spaces, etc.). The following list details ship-specific factors:

• Ship design • Level of Automation • Level of Redundancy • Equipment reliability • Inspection and Maintenance • Age of vessel • Physical comfort in work spaces • Location of quarters • Ship motion • Physical comfort of accommodation spaces

D. Environmental Factors

Exposure to excess levels of environmental factors, i.e. temperature/humidity and excessive noise levels, can cause/affect fatigue. Long-term exposure may even cause harm to a person’s health. Furthermore, considering that environmental factors produce physical discomfort, they also cause/contribute to the disruption of sleep.

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Ship motion is also considered an environmental factor. Motion affects a person’s ability to maintain physical balance. This is due to the extra energy expended to maintain balance while moving, especially during harsh sea conditions. There is a direct relation between a ship’s motion and a person’s ability to work. Excessive ship movement can also cause nausea and motion sickness. Environmental factors can also be divided into factors external to the ship and those internal to the ship. Within the ship, the crew is faced with elements such as noise, vibration and temperature (heat, cold, and humidity). External factors include port and weather condition and vessel traffic.

There are a number of things that can be done to address these causes. Some contributors are more manageable than others. Opportunities for implementing countermeasures vary from one factor to another (noise can be better addressed during the vessel design stage, breaks can be addressed by the individual crew member, training and selection of the crew can be addressed during the hiring process, etc.). The remaining Modules will further highlight the prevention of fatigue.

Modules 2 through 9 provide a closer examination of the specific causes of fatigue and how each relates to specific industry groups.

5. BASIC CONCEPTS IN UNDERSTANDING FATIGUE

This section highlights some of the basic concepts that provide an overall understanding about fatigue. A. Sleep

Sleep is an active process; when people sleep they are actually in an altered state of consciousness. All sleep does not have the same quality and does not provide the same recuperative benefits. In order to satisfy the needs of the human body, sleep must have three characteristics to be most effective: • Duration: Everyone’s sleep needs are unique; however, it is generally recommended

that a person obtain, on average, 7 to 8 hours of sleep per 24-hour day. A person needs the amount of sleep that produces the feeling of being refreshed and alert. Alertness and performance are directly related to sleep. Insufficient sleep over several consecutive days will impair alertness. Only sleep can maintain or restore performance levels.

• Continuity: The sleep should be uninterrupted. Six one-hour naps do not have the same benefit as one six-hour period of sleep.

• Quality: People need deep sleep. Just being tired is not enough to ensure a good sleep. An individual must begin sleep in synch with the biological clock to ensure quality sleep. If the time of sleep is out of synchronization with his/her biological clock, it is difficult to sleep properly.

Many factors contribute to sleep disruption, some are within our control while others are not:

- environmental factors (e.g. ship’s violent movement, weather, heavy vibration, noise or poor accommodation)

- food and consumption of chemicals (e.g. alcohol intake, coffee, medication, etc.)


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- psychological factors (e.g. stress, family worries, on-duty responsibilities) - sleep disorders (e.g. one, insomnia–prolonged inability to obtain adequate sleep or

e.g. two, sleep apnea–a condition where breathing stops when sleep occurs due to a collapse of the upper airway or the diaphragm not moving causing the person to wake up)

- operational factors (e.g. disruptions caused by drills, loading and unloading)

B. Biological Clock and Circadian Rhythm Each individual has a biological clock, and this clock regulates one’s circadian rhythm.

To best understand both of these features, one must first understand how the circadian rhythm functions. Our bodies move through various physical processes and states within a 24-hour period, such as sleeping/waking, and cyclical changes in body temperature, hormone levels, sensitivity to drugs, etc. This cycle represents the circadian rhythm. The biological clock regulates the circadian rhythm. The biological clock is perfectly synchronised to the traditional pattern of daytime wakefulness and night-time sleep.

The biological clock makes people sleepy or alert on a regular schedule whether they are

working or not. In normal conditions, the sleep/wake cycle follows a 24-hour rhythm. However, the cycle isn’t the same for everyone. Although individual rhythms vary, everyone’s cycle has two distinctive peaks and dips. There are two times of low alertness (low-points or dips) in each 24-hour period that are independent of other sleep-related factors that cause sleepiness: 3-5am and 3-5pm. Preceding these lowest alertness periods, people have maximum alertness periods (peaks).

The states of sleep/wakefulness and circadian rhythms interact in several ways:

- The two can work against one another and thereby weaken or negate each other’s effect. For example, a well-rested person is still affected by a circadian low-point (e.g. 3-5 p.m.); conversely, a person who is sleep deprived may feel a momentary increase in alertness due to a peak in circadian rhythm.

- The two can also work in the same direction, thereby intensifying the effect they each have on one’s level of alertness. For example, when a person is sleep deprived, a circadian low point will further exacerbate the feeling of sleepiness.

For many seafarers, working patterns conflict with their biological clock. Irregular schedules caused by shifting rotations, crossing time zones, etc. cause the circadian rhythms to be out of synchronization. Further, the internal clock can only adjust by an hour or two each day. Sometimes, depending on the new schedule, it takes several days to adjust. In the meantime, the internal clock wakes a person up when they need to sleep and puts them to sleep when they need to be awake.

C. Stress

Stress occurs when a person is confronted with an environment that poses a threat or demand, and the individual becomes aware of his/her inability or difficulty in coping with the environment (a feeling of being overwhelmed). This can result in reduced work performance and health problems.

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Stress can be caused by a number of things, including: • Environmental hardships (noise, vibration, exposure to high and low temperatures,

etc) • Weather (i.e. ice conditions) • Personal problems (family problems, home sickness, etc.) • Broken rest • Long working hours • On-board interpersonal relationships

6. EFFECTS OF FATIGUE

Alertness is the optimum state of the brain that enables us to make conscious decisions. Fatigue has a proven detrimental effect on alertness– this can be readily seen when a person is required to maintain a period of concentrated and sustained attention, such as looking out for the unexpected (e.g. night watch). When a person’s alertness is affected by fatigue, his or her performance on the job can be significantly impaired. Impairment will occur in every aspect of human performance (physically, emotionally, and mentally) such as in decision-making, response time, judgement, hand-eye coordination, and countless other skills.

Fatigue is dangerous in that people are poor judges of their level of fatigue. The following is a sample of fatigue’s known effect on performance. Modules 2 through 9 contain a more extensive list for use by each individual industry group.

• Fatigued individuals become more susceptible to errors of attention and memory (for

example, it is not uncommon for fatigued individuals to omit steps in a sequence). • Chronically fatigued individuals will often prefer strategies that require less effort but

which have a high chance of success, even when they are not the safest choice. • Fatigue can affect an individual's ability to respond to stimuli, perceive stimuli, interpret

or understand stimuli, and it can take longer to react to them once they have been identified.

• Fatigue also affects problem solving which is an integral part of handling new or novel tasks.

Fatigue is known to detrimentally affect a person’s performance and may reduce individual and crew effectiveness and efficiency; decrease productivity; lower standards of work and may lead to errors being made. Unless steps are taken to alleviate the fatigue, it will remain long after the period of sustained attention, posing a hazard to ship safety.


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References

Calhoun S.R. (1999) – Human Factors and Ship Design: Preventing and Reducing Shipboard Operator Fatigue. University of Michigan/U.S. Coast Guard Research Project – Michigan, United States. Kroemer K.H.E., Gradjean E. (1999) – Fitting the task to the Human (Fifth Edition). Taylor and Francis, Ltd. – United Kingdom. Sandquist T., Raby M., Maloney A.L., Carvalhais T. (1996) - Fatigue and Alertness in Merchant Marine Personnel: A field study of work and sleep patterns. Report No. CG-D-06-97. Batelle Seattle Research Center and U.S. Coast Guard Research and Development Center – Conneticut, United States.

Transportation Safety Board of Canada (1997) - A Guide for Investigating for Fatigue - Canada.

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ANNEX 4


FATIGUE AND THE RATING

Foreword

The Guidelines on Fatigue contain practical information that can assist interested parties (Naval architects/Ship designers, owners/operators, Masters, Officers, other crew members and training institutions) to better understand and manage fatigue. The guidelines provide information on the potential dangers of fatigue and ultimately the effect on the health and safety of the personnel working on ships. The guidelines contain information on the symptoms and causes of fatigue, and address solutions to combat fatigue in order to improve associated health problems and prevent fatigue related accidents from occurring. The guidelines have been divided into nine modules, as follows: 1. Module 1 Fatigue 2. Module 2 Fatigue and the Rating 3. Module 3 Fatigue and the Ship’s Officer 4. Module 4 Fatigue and the Master 5. Module 5 Fatigue and the Training Institution and Management Personnel in charge

of Training 6. Module 6 Shipboard Fatigue and the Owner/Operator/Manager 7. Module 7 Shipboard Fatigue and the Naval Architect/Ship Designer 8. Module 8 Fatigue and the Maritime Pilot 9. Module 9 Fatigue and Tugboat Personnel 10. Appendix Fatigue related documentation It is recommended that all parties become familiar with Module 1 prior to using Modules 2 - 9. Module 1 contains pertinent background information on the subject of fatigue. Module 2 contains practical information intended for the Rating working on board vessels.


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FATIGUE AND THE RATING

1. HOW CAN YOU RECOGNIZE FATIGUE IN YOURSELF AND OTHERS?

You may exhibit one or more changes in behavior when experiencing fatigue. However, one very important fact to remember is that people who are experiencing fatigue have a very difficult time recognizing the signs of fatigue themselves. It is difficult for a number of reasons, but largely because fatigue can affect your ability to make judgements or solve complex problems. The following list describes how fatigue affects your mind, emotions and body; you may recognize some of these changes in others (with time, you may learn to identify some within yourself):

A. Physically:

• Inability to stay awake (an example is head nodding or falling asleep against your will)

• Difficulty with hand-eye coordination skills (such as, switch selection) • Speech difficulties (it may be slurred, slowed or garbled) • Heaviness in the arms and legs or sluggish feeling • Decreased ability to exert force while lifting, pushing or pulling • Increased frequency of dropping objects like tools or parts • Non-specific physical discomfort • Headaches • Giddiness • Heart palpitations / irregular heart beats • Rapid breathing • Loss of appetite • Insomnia • Sudden sweating fits • Leg pains or cramps • Digestion problems

B. Emotionally:

• Increased willingness to take risks • Increased intolerance and anti-social behavior • Needless worry • Reduced motivation to work well • Increased mood changes (examples are irritability, tiredness and depression)

C. Mentally:

• Poor judgement of distance, speed, time, etc. • Inaccurate interpretation of a situation (examples are focusing on a simple problem or

failing to anticipate the gravity of the situation or failing to anticipate danger) • Slow or no response to normal, abnormal or emergency situations • Reduced attention span • Difficulty concentrating and thinking clearly • Decreased ability to pay attention

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Whenever alertness is affected by fatigue, your performance will be handicapped. It is important that you notify your supervisor when you recognize that you or other crewmembers are fatigued. It is important to have an open communication between you and your supervisor regarding fatigue prevention and detection.

2. WHAT CAN CAUSE FATIGUE?

Fatigue may be caused and/or made worse by one or a combination of things: • Lack of sleep

Only sleep can maintain or restore your performance level. When you do not get enough sleep, fatigue will set in and your alertness will be impaired. (Refer to Section 3)

• Poor quality of sleep

Fatigue may be caused by poor quality of sleep. This occurs when you are unable to sleep without interruptions and/or you are unable to fall asleep when your body tells you to. (Refer to Section 3)

• Insufficient rest time between work periods

Apart from sleep, rest (taking a break) between work periods can contribute to restoring a person’s performance levels. Insufficient rest periods or postponing assigned rest times (to “knock-off” work early) can cause fatigue. (Refer to Section 3)

• Poor quality of rest

Disturbances while resting such as being woken up unexpectedly, on call (during port operations), or unpredictable work hours (when arriving in port) can cause fatigue.

• Stress

Stress can be caused by personal problems (family), problems with other shipmates, long work hours, work in general, etc. A build up of stress will cause or increase fatigue.

• Boring and repetitive work

Boredom can cause fatigue. You may become bored to the point of fatigue when your work is too easy, repetitive and monotonous and/or bodily movement is restricted.

• Noise or vibration

Noise or vibration can affect your ability to sleep/rest, and it can affect your level of physical stress, thus causing fatigue.

• Ship movement

The ship’s movement affects a person’s ability to maintain physical balance. Maintaining balance requires extra energy, which can then cause fatigue. A ship’s pitch and roll motions mean a person might have to use 15-20% extra effort to maintain balance.

• Food (timing, frequency, content and quality) Refined sugars (sweets, doughnuts, chocolates, etc.) can cause your blood sugar to rise

rapidly to a high level. The downside of such short-term energy is that it can be followed by a rapid drop in blood sugar. Low blood sugar levels can cause weakness, instability, difficulty in concentrating and in extreme cases unconsciousness. Eating large meals prior to a sleep period may disrupt your sleep.


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• Medical conditions and illnesses Medical conditions (i.e. heart problems) and illnesses, such as the common cold, can cause or aggravate fatigue. The effect depends on the nature of the illness or medical condition, but also the type of work being carried out. For example, common colds slow response time and hand-eye coordination in performance.

• Ingesting chemicals

Alcohol, caffeine and some over-the-counter medications disrupt sleep. Caffeine consumption can also cause other side effects such as hypertension, headaches, mood swings or anxiety.

• Jet-lag

Jet-lag occurs following long flights through several time zones. It is a condition that causes fatigue in addition to sleep-deprivation and irritability. It is easier to adjust to time zones while crossing from east to west as opposed to west to east. The greatest difficulty in adjustment results from crossing 12 time zones, the least from crossing one time zone. Our bodies adjust at the rate of approximately one-hour per day.

• Excessive work load

Working consistently “heavy” workloads can cause fatigue. Workload is considered heavy when one works excessive hours or performs physically demanding or mentally stressful tasks. Excessive work hours and fatigue can result in negative effects such as the following: - Increased accident and fatality rates - Increased dependence upon drugs, tobacco or alcohol - Poor quality and disrupted sleep patterns - Higher frequency of cardiovascular, respiratory or digestive disorders - Increased risk of infection - Loss of appetite

3. HOW CAN YOU PROTECT YOURSELF FROM THE ONSET OF FATIGUE?

A. Sleep Issues Sleep is the most effective strategy to fight fatigue. Sleep loss and sleepiness can degrade every aspect of a person’s performance: physical, emotional and mental. To satisfy the needs of your body, you must acquire the following: • Deep sleep • Between 7 to 8 hours of sleep per 24-hour day • Uninterrupted sleep Here are some general guidelines on developing good sleep habits: • Develop and follow a pre-sleep routine to promote sleep at bedtime (examples are a

warm shower or reading calming material). • Make the sleep environment conducive to sleep (a dark, quiet and cool environment

and a comfortable bed encourages sleep). • Ensure that you will have no interruptions during your extended period of sleep. • Satisfy any other physiological needs before trying to sleep (examples are, if hungry

or thirsty before bed, eat or drink lightly to avoid being kept awake by digestive activity and always visit the head before trying to sleep).

• Avoid alcohol and caffeine prior to sleep (keep in mind that coffee, tea, colas, chocolate, and some medications, including cold remedies and aspirin, may contain alcohol and/or caffeine). Avoid caffeine at least six hours before bedtime.

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B. Rest Issues

Another important factor that can affect fatigue and performance is rest. Rest, apart from sleep, can be provided in the form of breaks or changes in activities. Rest pauses or breaks are indispensable as a physical requirement if performance is to be maintained. Factors influencing the need for rest are the length and intensity of the activities prior to a break or a change in activity, the length of the break, or the nature or change of the new activity.

C. Sleep and Rest Guidelines Here are some general guidelines that can help you maintain performance:

• Get sufficient sleep, especially before any period when you anticipate that you will not get adequate sleep.

• When you sleep, make it a long period of sleep. • Take strategic naps. • Take breaks when scheduled breaks are assigned. • Develop and maintain good sleep habits, such as a pre-sleep routine (something that

you always do to get you ready to sleep). • Monitor your hours of work and rest when opportunity arises. • Eat regular, well-balanced meals (including fruits and vegetables, as well as meat and

starches). • Exercise regularly.

4. WHAT CAN MITIGATE THE EFFECTS OF FATIGUE?

The most powerful means of relieving fatigue is to get proper sleep and to rest when appropriate. However, a number of things have been identified as potentially providing some short-term relief. Note, however, that these countermeasures may simply mask the symptoms temporarily —the fatigue has not been eliminated.

• An interesting challenge, an exciting idea, a change in work routine or anything else that

is new and different • Bright lights, cool dry air, music and other irregular sounds • Caffeine (encountered in coffee and tea, and to a lesser extent in colas and chocolate)

appears to effectively combat sleepiness in some people for short periods. However, regular usage over time will reduce its value as a stimulant and may make you more tired and less able to sleep.

• Any type of muscular activity: running, walking, stretching or even chewing gum • Conversation • Controlled, strategic naps can also improve alertness and performance (the most effective

length of time for a nap is about 20 minutes).

A. Strategic Napping Research has identified “strategic napping” as a short-term relief technique to help

maintain performance levels during long periods of wakefulness. This means that if you have the opportunity to nap you should take it. However, there are some drawbacks associated with napping. One potential drawback is that naps longer than 30 minutes will cause sleep inertia, where situational awareness is impaired (grogginess and/or disorientation for up to 20 minutes after waking. A second is that the nap may disrupt later sleeping periods (you may not be tired when time comes for an extended period of sleep).


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REFERENCES

International Transport Workers’ Federation (1997) - Seafarer Fatigue: Wake up to the dangers. IMO, MSC 69/INF.10 - United Kingdom. Kroemer, K.H.E., & Grandjean, E. (Re-printed 1999) – Fitting the Task to the Human. Taylor & Francis Ltd. – London, United Kingdom. McCallum, M.C., & Raby, M., Rothblum A. (1996) - Procedures for Investigating and Reporting Human Factors and Fatigue Contributions to Marine Casualties. Report No. CG-D-09-97. Batelle Seattle Research Center and U.S. Coast Guard Research and Development Center – Conneticut, United States. Moore-Ede M., Mitchell R. E., Heitmann A., Trutsche U., Aguirre A., & Hajarnavis H. (1996) - Canalert 1995: Alertness Assurance in the Canadian Railways - Circadian Technologies, Inc. - Massachussets, United States. Parker, A.W., Hubinger, L.M., Green, S., Sargent, L., & Boyd, R. (1197) - A survey of the health, stress and fatigue of Australian Seafarers - Australian Maritime Safety Authority - Australia. Pollard J.K., Sussman E.D., & Stearns M. (1990) - Shipboard Crew fatigue, Safety and Reduced Manning. Report No. DOT-MA-RD-840-90014. John A. Volpe National Transportation Systems Center – Massachussets, United States. Sandquist T., Raby M., Maloney A.L., Carvalhais T. (1996) - Fatigue and Alertness in Merchant Marine Personnel: A field study of work and sleep patterns. Report No. CG-D-06-97. Batelle Seattle Research Center and U.S. Coast Guard Research and Development Center – Conneticut, United States. Transportation Safety Board of Canada (1997) - A Guide for Investigating for Fatigue - Canada. United Kingdom National Union of Marine Aviation and Shipping Transport Officers (1997) - Give us a Break: NUMAST Report on Fatigue. IMO, MSC 68/INF. 9 - United Kingdom. Videotel (1998). Fatigue and Stress at Sea [video] - London, United Kingdom.

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ANNEX 5


FATIGUE AND THE SHIP’S OFFICER

Foreword

The Guidelines on Fatigue contain practical information that can assist interested parties (naval architects/Ship designers, owners/operators, Masters, Officers, other crew members and training institutions) to better understand and manage fatigue. The guidelines provide information on the potential dangers of fatigue and ultimately the effect on the health and safety of the personnel working on ships. The guidelines contain information on the symptoms and causes of fatigue, and address solutions to combat fatigue in order to improve associated health problems and prevent fatigue related accidents from occurring. The guidelines have been divided into nine modules, as follows:

.1 Module 1 Fatigue .2 Module 2 Fatigue and the Rating .3 Module 3 Fatigue and the Ship’s Officer .4 Module 4 Fatigue and the Master .5 Module 5 Fatigue and the Training Institution and Management Personnel in

charge of Training .6 Module 6 Shipboard Fatigue and the Owner/Operator/Manager .7 Module 7 Shipboard Fatigue and the Naval Architect/Ship Designer .8 Module 8 Fatigue and the Maritime Pilot .9 Module 9 Fatigue and Tugboat Personnel .10 Appendix Fatigue related documentation It is recommended that all parties become familiar with Module 1 prior to using Modules 2 - 9. Module 1 contains pertinent background information on the subject of fatigue. Module 3 contains practical information intended for the Ship Officer working on board vessels. It is recommended that the Ship Officer also becomes familiar with Modules 2 (Fatigue and the Rating).


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FATIGUE AND THE SHIP’S OFFICER

1. HOW CAN YOU RECOGNIZE FATIGUE IN YOURSELF AND OTHERS

(SIGNS/SYMPTOMS)? Fatigue can affect your mind, emotions and body (e.g. your capacity for tasks involving physical exertion and strength, as well as your ability to solve complex problems or make decisions, etc). Your level of alertness is dependent on fatigue, and therefore, human performance can be impaired. Table 1 describes some of the possible effects of fatigue by listing the performance impairments and the symptoms associated with them. These signs and symptoms of fatigue may be used to identify an individual’s level of alertness. It must be noted, however, that it is difficult for an individual to recognize the symptoms of fatigue within him/herself, because fatigue impairs judgement.

TABLE 1 EFFECTS OF FATIGUE

PERFORMANCE IMPAIRMENT SIGNS/SYMPTOMS 1 Inability to concentrate • Unable to organize a series of activities

• Preoccupied with a single task • Focuses on a trivial problem, neglecting more important

ones • Reverts to old but ineffective habits • Less vigilant than usual

2 Diminished decision-making ability

• Misjudges distance, speed, time, etc. • Fails to appreciate the gravity of the situation • Overlooks items that should be included • Chooses risky options • Difficulty with simple arithmetic, geometry, etc.

3 Poor memory • Fails to remember the sequence of task or task elements • Difficulty remembering events or procedures • Forgets to complete a task or part of a task

4 Slow response • Responds slowly (if at all) to normal, abnormal or emergency situations

5 Loss of control of bodily movements

• May appear to be drunk • Inability to stay awake • Affected speech e.g. it may be slurred, slowed or garbled • Feeling heaviness in the arms and legs • Decreased ability to exert force while lifting, pushing or

pulling • Increased frequency of dropping objects like tools or parts

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6 Mood change • Quieter, less talkative than usual • Unusually irritable • Increased intolerance and anti-social behavior • Depression

7 Attitude change • Fails to anticipate danger • Fails to observe and obey warning signs • Seems unaware of own poor performance • Too willing to take risks • Ignores normal checks and procedures • Displays a “don’t care” attitude • Weakness in drive or dislike for work

In addition to the behavioral changes listed in the table (symptoms), there are also a number of other changes associated with fatigue that will manifest in physical discomfort, such as: • Headaches • Giddiness • Heart palpitations / irregular heart beats • Rapid breathing • Loss of appetite • Insomnia • Sudden sweating fits • Leg pains or cramps • Digestion problems

2. WHAT CAN CAUSE FATIGUE? Fatigue may be caused and/or made worse by one or a combination of things: • Lack of sleep

Only sleep can maintain or restore your performance level. When you do not get enough sleep, fatigue will set in and your alertness will be impaired. (Refer to Section 3 of this Module)


Fatigue may be caused by poor quality of sleep. This occurs when you are unable to sleep without interruptions and/or you are unable to fall asleep when your body tells you to. (Refer to Section 3)




Disturbances while resting such as being woken up unexpectedly while on call (during port operations) or unpredictable work hours (when arriving in port) can cause fatigue.


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• Stress Stress can be caused by personal problems (family), problems with other shipmates, long work hours, work in general, etc. A build up of stress will cause or increase fatigue.





• Ship movement


• Food (timing, frequency, content and quality)

Refined sugars (sweets, doughnuts, chocolates, etc.) can cause your blood sugar to rise rapidly to a high level. The downside of such short-term energy is that it can be followed by a rapid drop in blood sugar. Low blood sugar levels can cause weakness, instability, difficulty in concentrating and in extreme case unconsciousness. Large meals consumed prior to a sleep period may disrupt your sleep.

• Medical conditions and illnesses

Medical conditions (i.e. heart problems) and illnesses such as the common cold can cause fatigue. The effect not only depends on the nature of the illness or medical condition, but also the type of work being carried out. For example, common colds slow response time and hand-eye coordination in performance.


Alcohol, caffeine and some over the counter medications disrupt sleep. Caffeine consumption can also causes other side effects such as hypertension, headaches, mood swings and anxiety.

• Jet-lag

Jet-lag occurs following long flights through several time zones. It is a condition that causes fatigue in addition to sleep-deprivation and irritability. It is easier to adjust to time zones while crossing from east to west as opposed to west to east. The greatest difficulty in adjustment results from crossing 12 time zones, the least from crossing one time zone. Our bodies adjust at the rate of approximately one hour per day.


Working consistently “heavy” workloads can cause fatigue. Workload is considered heavy when a person works excessive hours or performs physically demanding or mentally stressful tasks. Excessive work hours and fatigue can result in negative effects such as the following: - Increased accident and fatality rates - Increased dependence upon drugs, tobacco or alcohol - Poor quality and disrupted sleep patterns - Higher frequency of cardiovascular, respiratory or digestive disorders

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- Increased risk of infection - Loss of appetite

3. HOW CAN PEOPLE PREVENT THE ONSET OF FATIGUE?

A. Sleep Issues

The most effective strategy to fight fatigue is to ensure that you get the very best quality and quantity of sleep. Sleep loss and sleepiness can degrade every aspect of human performance such as decision-making, response time, judgement, hand-eye coordination, and countless other skills.

In order to be effective in satisfying your body’s need, sleep must meet three criteria: • Duration

Everyone’s sleep needs are unique; however, it is generally recommended that a person obtains on average 7 to 8 hours of sleep per 24-hour day. A person needs the amount of sleep that produces the feeling of being refreshed and alert. Insufficient sleep over several consecutive days will impair alertness; only sleep can maintain or restore performance levels.

• Continuity

Sleep should be uninterrupted. Six one-hour naps do not have the same benefit as one six-hour period of sleep.

• Quality

People need deep sleep. All sleep is not of the same quality and does not provide the same fully recuperative benefits.

Here are some general guidelines on developing good sleep habits:

• Develop and follow a pre-sleep routine to promote sleep at bedtime (e.g. a warm shower, reading calming material, or just making a ritual of pre-bed preparation can provide a good routine).

• Make the sleep environment conducive to sleep (a dark, quiet and cool environment and a comfortable bed encourages sleep).

• Ensure that you will have no interruptions during your extended period of sleep. • Satisfy any other physiological needs before trying to sleep (e.g. if hungry or thirsty

before bed, eat or drink lightly to avoid being kept awake by digestive activity and always visit the toilet before trying to sleep).

• Avoid alcohol and caffeine prior to sleep (keep in mind that coffee, tea, colas, chocolate, and some medications, including cold remedies and aspirin contain alcohol and/or caffeine). Avoid caffeine at least six hours before bedtime.

• Consider relaxation techniques such as meditation and yoga, which can also be of great help if learnt properly.

B. Rest Issues

Another important factor that can affect fatigue and recovery is rest. Rest, apart from sleep, can be provided in the form of breaks or changes in activities. Rest pauses or breaks are indispensable as a physical requirement if performance is to be maintained. Factors influencing the need for rest are the length and intensity of the activities prior to a


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break or a change in activity, the length of the break, or the nature or change of the new activity.

C. Sleep and Rest Guidelines

Here are some general guidelines that can help you maintain performance: • Get sufficient sleep, especially before a period when you expect that time for adequate

sleep will not be available. • Ensure continuous periods of sleep. • Take strategic naps (the most effective length of time for a nap is about 20 minutes). • Take breaks when scheduled breaks are assigned. • Develop and maintain good sleep habits, e.g. develop a pre-sleep routine. • Monitor and effectively manage hours of work and rest by maintaining individual

records of hours rested or worked. • Maintain fitness for duty including medical fitness. • Eat regular, well-balanced meals. • Exercise regularly.


The most powerful means of relieving fatigue is to get proper sleep and to rest when appropriate. However, a number of countermeasures have been identified as potentially providing some short-term relief. It must be emphasized that these countermeasures will not restore an individual’s state of alertness; they only provide short-term relief, and may in fact, simply mask the symptoms temporarily. The following list captures some of the short-term countermeasures:

• Interest or opportunity

An interesting challenge, an exciting idea, a change in work routine or anything else that is new and different may help to keep you awake. If the job is boring or monotonous, alertness fades.

• Environment (light, temperature, humidity, sound, and aroma)

Bright lights, cool dry air, obtrusive or loud music or other annoying irregular sounds, and some invigorating aromas (such as peppermint) may temporarily increase alertness.

• Food and consumption of chemicals

Ingesting, or inhaling certain chemicals or foods may enhance alertness. Caffeine (encountered in coffee and tea and to a lesser extent in foods such as colas and chocolate) appears to help combat sleepiness in some people for short periods of time. However, regular usage over time will reduce its value as a stimulant and may make you more tired and less able to sleep.

• Muscular activity

Any type of muscular activity helps to keep you alert; running, walking, stretching or even chewing gum can stimulate your level of alertness.

• Social Interaction

Social interaction (conversation) can help you stay awake. However, the interaction must be active to be effective.

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• Job Rotation Changing the order of activities, where personnel are assigned tasks that include variety in the nature of tasks, can be beneficial in breaking up job monotony. Mixing tasks requiring high physical or mental work with low-demand tasks can be beneficial.

• Strategic Napping

Research has identified “strategic napping” as a short-term relief technique to help maintain performance levels during long periods of wakefulness. The most effective length of time for a nap is about 20 minutes. This means that if you have the opportunity to nap you should take it. However, there are some drawbacks associated with napping. One potential drawback is that naps longer than 30 minutes will cause sleep inertia, where situational awareness is impaired (grogginess and/or disorientation for up to 20 minutes after waking. A second is that the nap may disrupt later sleeping periods (you may not be tired when time comes for an extended period of sleep).

Although not a recommended fatigue mitigation strategy, the implication of eminent danger

such as hearing ships’ alarms, avoiding a fall or a falling object, or just surviving a near miss may pull you from a sleepy state.

5. WHAT CAN BE DONE TO REDUCE CREW FATIGUE ON BOARD SHIP?

There are a number of steps that can be taken to prevent fatigue. Many of the measures that reduce fatigue are unfortunately beyond a single person’s ability to influence, such as voyage scheduling, ship design, and work scheduling. Steps such as the following are important in the prevention of fatigue on board ship, and are within the Ship Officer’s ability to influence and implement:

• Ensuring compliance with maritime regulations (minimum hours of rest and/or maximum

hours of work) • Using rested mariners to cover for those traveling long hours to join the ship and whom

are expected to go on watch as soon as they arrive on board (e.g., allowing proper time to overcome fatigue and become familiarized with the ship)

• Creating an open communication environment (e.g. by making it clear to the crew

members that it is important to inform supervisors when fatigue is impairing their performance and that there will be no recriminations for such reports)

• Scheduling drills in a manner that minimizes the disturbance of rest/sleep periods • Establishing on-board management techniques when scheduling shipboard work and rest

periods, and using watchkeeping practices and assignment of duties in a more efficient manner (using, where appropriate, IMO and ILO recommended formats – “Model format for table of shipboard working arrangements” and “Model format for records of hours of work or hours of rest of seafarers”)1

• Assigning work by mixing up tasks to break up monotony and combining work that

requires high physical or mental demand with low-demand tasks (job rotation) • Scheduling tasks with potential hazards for daytime hours


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• Emphasizing the relationship between work and rest periods to ensure that adequate rest is received; this can be accomplished by promoting individual record keeping of hours rested or worked. Using (where appropriate) IMO and ILO recommended formats in “IMO/ILO Guidelines for the Development of Tables of Seafarers’ Shipboard Working Arrangements and Formats of Records of Seafarers’ Hours of Work or Hours of Rest”

• Re-appraising traditional work patterns and areas of responsibility on board to establish

the most efficient utilization of resources (splitting the long cargo operations between officers instead of the traditional pattern — the chief mate in charge of it is one example and utilizing rested mariners to cover for those travelling long hours to join the ship and expected to go on watch as soon as they arrive on board is a second)

• Ensuring that shipboard conditions, within the crew’s ability to influence, are maintained

in a good state (e.g., maintaining the heating, ventilation and air-conditioning (HVAC) on schedule, replacing light bulbs, and contending with the sources of unusual noise at the first opportunity)

• Establishing shipboard practices for dealing with fatigue incidents and learning from the

past (as part of safety meetings) • Increasing awareness of the long-term health care of appropriate lifestyle behavior (e.g.

exercise, relaxation, nutrition, smoking and alcohol consumption)

6. WHAT RULES AND REGULATIONS ARE IN PLACE TO PREVENT AND DEAL WITH FATIGUE?

Each individual Flag Administration is responsible for the development, acceptance,

implementation and enforcement of national and international legislation (conventions, codes, guidelines, etc.) that deals with the various fatigue aspects: work hours, rest periods, crew competency and watchkeeping practices. The following international organisations have issued various conventions and other instruments that deal with the fatigue aspects: • International Labor Organisation: Convention Concerning Seafarers’ Hours of Work and

the Manning of Ships – ILO Convention No. 1801 • International Maritime Organisation: International Convention on Standards of Training

Certification and Watchkeeping for Seafarers, 1978 as amended in 1995 (STCW Convention)2; Seafarer’s Training, Certification and Watchkeeping Code (STCW Code) Parts A3 and B4; International Safety Management Code (ISM Code)5; and various guidelines/recommendations

In addition to the international standards, company and flag administration policies, which may be more stringent in some cases, should be followed on board all vessels.

1 Not yet in force, but is considered to represent the international framework. 2 Mandatory instrument. 3 Mandatory instrument. 4 Recommendatory guidance. 5 Mandatory instrument.

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REFERENCES 1International Maritime Organization (IMO) & International Labour Office (ILO) (1999)- IMO/ILO Guidelines for the Development of Tables of Seafarers’ Shipboard Working Arrangements and Formats of Records of Seafarers’ Hours of Work or Hours of Rest. IMO – London, United Kingdom International Transport Workers’ Federation (1997) - Seafarer Fatigue: Wake up to the dangers. IMO, MSC 69/INF.10 - United Kingdom. Kroemer, K.H.E., & Grandjean, E. (Re-printed 1999) – Fitting the Task to the Human. Taylor & Francis Ltd. - London, United States. McCallum, M.C., & Raby, M., Rothblum A. (1996) - Procedures for Investigating and Reporting Human Factors and Fatigue Contributions to Marine Casualties. Report No. CG-D-09-97. Batelle Seattle Research Center and U.S. Coast Guard Research and Development Center - Conneticut, United States. Moore-Ede M., Mitchell R. E., Heitmann A., Trutsche U., Aguirre A., & Hajarnavis H. (1996) - Canalert 1995: Alertness Assurance in the Canadian Railways - Circadian Technologies, Inc. - Massachussets, United States. Parker, A.W., Hubinger, L.M., Green, S., Sargent, L., & Boyd, R. (1197) - A survey of the health, stress and fatigue of Australian Seafarers - Australian Maritime Safety Authority - Australia. Pollard J.K., Sussman E.D., & Stearns M. (1990) - Shipboard Crew fatigue, Safety and Reduced Manning. Report No. DOT-MA-RD-840-90014. John A. Volpe National Transportation Systems Center - Massachussets, United States. Sandquist T., Raby M., Maloney A.L., Carvalhais T. (1996) - Fatigue and Alertness in Merchant Marine Personnel: A field study of work and sleep patterns. Report No. CG-D-06-97. Batelle Seattle Research Center and U.S. Coast Guard Research and Development Center - Conneticut, United States. Transportation Safety Board of Canada (1997) - A Guide for Investigating for Fatigue - Canada. United Kingdom National Union of Marine Aviation and Shipping Transport Officers (1997) - Give us a Break: NUMAST Report on Fatigue. IMO, MSC 68/INF. 9 - United Kingdom. Videotel (1998). Fatigue and Stress at Sea [video] - London, United Kingdom.

***

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ANNEX 6


FATIGUE AND THE MASTER

Foreword

The Guidelines on Fatigue contain practical information that can assist interested parties (Naval architects/Ship designers, owners/operators, Masters, Officers, other crew members and training institutions) to better understand and manage fatigue. The guidelines provide information on the potential dangers of fatigue and ultimately the effect on the health and safety of the personnel working on ships. The guidelines contain information on the symptoms and causes of fatigue, and address solutions to combat fatigue in order to improve associated health problems and prevent fatigue related accidents from occurring. The guidelines have been divided into nine modules, as follows:


Personnel in charge of Training 11. Module 6 Shipboard Fatigue and the Owner/Operator/Manager 12. Module 7 Shipboard Fatigue and the Naval Architect/Ship Designer 13. Module 8 Fatigue and the Maritime Pilot 14. Module 9 Fatigue and Tugboat Personnel 15. Appendix Fatigue related documentation It is recommended that all parties become familiar with Module 1 prior to using Modules 2 - 9. Module 1 contains pertinent background information on the subject of fatigue. Module 4 contains practical information intended for the Master working on board vessels. It is recommended that the Master also becomes familiar with Modules 2 and 3 (Fatigue and the Rating and Fatigue and the Ship’s Officer respectively).


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1. HOW CAN YOU RECOGNIZE FATIGUE IN YOURSELF AND OTHERS

(SIGNS/SYMPTOMS)? Fatigue can affect your mind, emotions and body (e.g. your capacity for tasks involving physical exertion and strength, as well as your ability to solve complex problems or make decisions, etc). Your level of alertness is dependent on fatigue, and therefore, human performance can be impaired. Table 1 describes some of the possible effects of fatigue by listing performance impairments and the symptoms associated with them. These signs and symptoms of fatigue may be used to identify an individual’s level of alertness. It must be noted, however, that it is difficult for an individual to recognize the symptoms of fatigue within him/herself, because fatigue impairs judgement.

TABLE 1 EFFECTS OF FATIGUE

PERFORMANCE IMPAIRMENT SIGNS/SYMPTOMS 1 Inability to concentrate • Unable to organize a series of activities

• Preoccupied with a single task • Focuses on a trivial problem, neglecting more important

ones • Reverts to old but ineffective habits • Less vigilant than usual


• Misjudges distance, speed, time, etc. • Fails to appreciate the gravity of the situation • Overlooks items that should be included • Chooses risky options • Difficulty with simple arithmetic, geometry, etc.

3 Poor memory • Fails to remember the sequence of task or task elements • Difficulty remembering events or procedures • Forgets to complete a task or part of a task

4 Slow response • Responds slowly (if at all) to normal, abnormal or emergency situations

5 Loss of bodily control • May appear to be drunk • Inability to stay awake • Affected speech e.g. it may be slurred, slowed or garbled • Feeling heaviness in the arms and legs • Decreased ability to exert force while lifting, pushing or

pulling • Increased frequency of dropping objects like tools or parts

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6 Mood change • Quieter, less talkative than usual • Unusually irritable • Increased intolerance and anti-social behavior • Depression

7 Attitude change • Fails to anticipate danger • Fails to observe and obey warning signs • Seems unaware of own poor performance • Too willing to take risks • Ignores normal checks and procedures • Displays a “don’t care” attitude • Weakness in drive or dislike for work

In addition to the behavioral changes listed in the table (symptoms), there are also a number of other changes associated with fatigue that will manifest as physical discomfort, such as: • Headaches • Giddiness • Heart palpitations / irregular heart beats • Rapid breathing • Loss of appetite • Insomnia • Sudden sweating fits • Leg pains or cramps • Digestion problems

2. WHAT CAN CAUSE FATIGUE? Fatigue may be caused and/or made worse by one or a combination of things: • Lack of sleep

Only sleep can maintain or restore your performance level. When you do not get enough sleep, fatigue will set in and your alertness will be impaired. (Refer to Section 3)

• Poor quality of sleep Fatigue may be caused by poor quality of sleep. This occurs when you are unable to sleep

without interruptions or you are unable to fall asleep when your body tells you to. (Refer to Section 3)

• Insufficient rest time between work periods Apart from sleep, rest (taking a break) between work periods can contribute to restoring a

person’s performance levels. Insufficient rest periods or postponing assigned rest times (to “knock-off” work early) can cause fatigue. (Refer to Section 3)


Disturbances while resting such as being woken up unexpectedly while on call (during port operations) or unpredictable work hours (when arriving in port) can cause fatigue.


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• Stress Stress can be caused by personal problems (family), problems with other shipmates, long

work hours, work in general, etc. A build up of stress will cause or increase fatigue. • Boring and repetitive work




• Ship movement



Refined sugars (sweets, doughnuts, chocolates, etc.) can cause your blood sugar to rise rapidly to a high level. The downside of such short-term energy is that it can be followed by a rapid drop in blood sugar. Low blood sugar levels can cause weakness, instability, difficulty in concentrating and in extreme case unconsciousness. Large meals consumed prior to a sleep period may disrupt your sleep.


Medical conditions (i.e. heart problems) and illnesses such as the common cold can cause fatigue. The effect not only depends on the nature of the illness or medical condition, but also the type of work being carried out. For example, common colds slow response time and hand-eye coordination in performance.


Alcohol, caffeine and some over the counter medications disrupt sleep. Caffeine consumption can also causes other side effects such as hypertension, headaches, mood swings and anxiety.

• Jet-lag

Jet-lag occurs following long flights through several time zones. It is a condition that causes fatigue in addition to sleep-deprivation and irritability. It is easier to adjust to time zones while crossing from east to west as opposed to west to east. The greatest difficulty in adjustment results from crossing 12 time zones, the least from crossing one time zone. Our bodies adjust at the rate of approximately one-hour per day.


Working consistently “heavy” workloads can cause fatigue. Workload is considered heavy when a person works excessive hours or performs physically demanding or mentally stressful tasks. Excessive work hours and fatigue can result in negative effects: - Increased accident and fatality rates - Increased dependence upon drugs, tobacco or alcohol - Poor quality and disrupted sleep patterns - Higher frequency of cardiovascular, respiratory or digestive disorders

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- Increased risk of infection - Loss of appetite

3. HOW CAN PEOPLE PREVENT THE ONSET OF FATIGUE? A. Sleep Issues

The most effective strategy to fight fatigue is to ensure that you get the very best quality and quantity of sleep. Sleep loss and sleepiness can degrade every aspect of human performance such as decision-making, response time, judgement, hand-eye coordination, and countless other skills.

In order to be effective in satisfying your body’s need, sleep must meet three criteria: • Duration

Everyone’s sleep needs are unique; however, it is generally recommended that a person obtain on average 7 to 8 hours of sleep per 24-hour day. A person needs the amount of sleep that produces the feeling of being refreshed and alert. Insufficient sleep over several consecutive days will impair alertness; only sleep can maintain or restore performance levels.

• Continuity

Sleep should be uninterrupted. Six one-hour naps do not have the same benefit as one six-hour period of sleep.

• Quality

People need deep sleep. All sleep is not of the same quality and does not provide the same fully recuperative benefits.

Here are some general guidelines on developing good sleep habits: • Develop and follow a pre-sleep routine to promote sleep at bedtime (e.g. a warm

shower, reading calming material, or just making a ritual of pre-bed preparation can provide a good routine).

• Make the sleep environment conducive to sleep (a dark, quiet and cool environment, and a comfortable bed encourages sleep).

• Ensure that you will have no interruptions during your extended period of sleep. • Satisfy any other physiological needs before trying to sleep (e.g. if hungry or thirsty

before bed, eat or drink lightly to avoid being kept awake by digestive activity and always visit the toilet before trying to sleep).

• Avid alcohol and caffeine prior to sleep (keep in mind that coffee, tea, colas, chocolate, and some medications, including cold remedies and aspirin contain alcohol and/or caffeine). Avoid caffeine at least six hours before bedtime.

• Consider relaxation techniques such as meditation and yoga, which can also be of great help if learnt properly.

B. Rest Issues Another important factor that can affect fatigue and recovery is rest. Rest, apart from sleep, can be provided in the form of breaks or changes in activities. Rest pauses or breaks are indispensable as a physical requirement if performance is to be maintained. Factors influencing the need for rest are the length and intensity of the activities prior to a


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break or a change in activity, the length of the break, or the nature or change of the new activity.


Here are some general guidelines that can help you maintain performance: • Get sufficient sleep, especially before a period when you expect that time for adequate

sleep will not be available. • Ensure continuous periods of sleep. • Take strategic naps (the most effective length of time for a nap is about 20 minutes). • Take breaks when scheduled breaks are assigned. • Develop and maintain good sleep habits, e.g. develop a pre-sleep routine. • Monitor and effectively manage hours of work and rest by maintaining individual

records of hours rested or worked. • Maintain fitness for duty including medical fitness. • Eat regular, well-balanced meals.

Exercise regularly.


The most powerful means of relieving fatigue is to get proper sleep and to rest when appropriate. However, a number of countermeasures have been identified as potentially providing some short-term relief. It must be emphasized that these countermeasures will not restore an individual’s state of alertness; they only provide short-term relief, and may in fact, simply mask the symptoms temporarily. The following list captures some of the short-term countermeasures:

• Interest or opportunity

An interesting challenge, an exciting idea, a change in work routine or anything else that is new and different may help to keep you awake. If the job is boring or monotonous, alertness fades.

• Environment (light, temperature, humidity, sound, and aroma)

Bright lights, cool dry air, obtrusive or loud music or other annoying irregular sounds, and some invigorating aromas (such as peppermint) may temporarily increase alertness.

• Food and consumption of chemicals Ingesting, or inhaling certain chemicals or foods may enhance alertness. Caffeine (encountered in coffee and tea and to a lesser extent in foods such as colas and chocolate) appears to help combat sleepiness in some people for short periods of time. However, regular usage over time will reduce its value as a stimulant and may make you more tired and less able to sleep.

• Muscular activity Any type of muscular activity helps to keep you alert; running, walking, stretching or even chewing gum can stimulate your level of alertness.

• Social Interaction Social interaction (conversation) can help you stay awake. However, the interaction must be active to be effective.

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• Job Rotation Changing the order of activities, where personnel are assigned tasks that include variety

in the nature of tasks, can be beneficial in breaking up job monotony. Mixing tasks requiring high physical or mental work with low-demand tasks can be beneficial.

• Strategic Napping

Research has identified “strategic napping” as a short-term relief technique to help maintain performance levels during long periods of wakefulness. The most effective length of time for a nap is about 20 minutes. This means that if you have the opportunity to nap you should take it. However, there are some drawbacks associated with napping. One potential drawback is that naps longer than 30 minutes will cause sleep inertia, where situational awareness is impaired (grogginess and/or disorientation for up to 20 minutes after waking. A second is that the nap may disrupt later sleeping periods (you may not be tired when time comes for an extended period of sleep).

Although not a recommended fatigue mitigation strategy, the implication of eminent danger such as hearing ships’ alarms, avoiding a fall or a falling object, or just surviving a near miss may pull you from a sleepy state.

5. WHAT CAN BE DONE TO REDUCE CREW FATIGUE ON BOARD SHIP?

There are a number of steps that can be taken to prevent fatigue. Many of the measures that reduce fatigue are unfortunately beyond a single person’s ability to influence, such as voyage scheduling, ship design, and work scheduling. Steps such as the following are important in the prevention of fatigue on board ship, and are within the Master’s ability to influence and/or implement:

• Ensuring compliance with maritime regulations (minimum hours of rest and/or maximum

hours of work)

• Using rested mariners to cover for those traveling long hours to join the ship and whom are expected to go on watch as soon as they arrive on board (e.g. allowing proper time to overcome fatigue and become familiarized with the ship)

• Impressing upon shore management the importance and benefits of addressing fatigue

management and countermeasures in the context of the company’s Safety Management System (as required by the International Safety Management Code)

• Impressing upon shore management the importance of the constant interaction between

them and the ship management with respect to fatigue awareness and preventive measures on board the vessels

• Creating an open communication environment, e.g. by making it clear to the crew

members that it is important to inform supervisors when fatigue is impairing their performance and that there will be no recriminations for such reports

• Emphasizing to shore management the importance of selecting seafarers with the right

training and experience for the job


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• Improving shipboard conditions to ensure that when there is an opportunity to sleep, crew members can take advantage of it without interruptions, e.g. by scheduling drills and routine maintenance functions in a manner that minimizes the disturbance of rest/sleep periods

• Establishing on-board management techniques when scheduling shipboard work and rest

periods and when scheduling watchkeeping practices and assignment of duties in a more efficient manner (using, where appropriate, IMO and ILO recommended formats – “Model Format for Table of Shipboard Working Arrangements” and “Model Format for Records of Hours of Work or Hours of Rest of Seafarers”)1

• Assigning work by mixing up tasks to break monotony and to combine work requiring high physical or mental demand with low-demand tasks (job rotation)

• Scheduling tasks with potential hazards for daytime hours

• Advocating to shore management that shipboard personnel should be provided with

training and support so they may recognize and deal with the effects of fatigue

• Emphasizing the relationship between work and rest periods to ensure that adequate rest is received; this can be accomplished by promoting individual record keeping of hours at rest or worked. Using (where appropriate) IMO and ILO recommended formats in “IMO/ILO Guidelines for the Development of Tables of Seafarers’ Shipboard Working Arrangements and Formats of Records of Seafarers’ Hours of Work or Hours of Rest”

• Taking time to personally verify that watchkeeping personnel are getting adequate rest

• Ensuring that shipboard conditions, within the crew’s ability to influence, are maintained in a good state (e.g. maintaining the heating, ventilation and air-conditioning on schedule, light bulbs are replaced, sources of unusual noise are taken care of at the first opportunity)

• Re-appraising traditional work patterns and areas of responsibility onboard to establish

the most efficient utilization of resources (i.e. splitting the long cargo operations between officers instead of the traditional pattern with the chief mate in charge of it or utilizing rested mariners to cover for those travelling long hours to join the ship and expected to go on watch as soon as they arrive on board)

• Promoting supportive relationships on board (good morale) and dealing with

interpersonal conflict between seafarers

• Establishing shipboard practices for dealing with fatigue incidents and learning from them (e.g. as part of the safety meetings)

• Increasing awareness of the long term health care of appropriate lifestyle behavior (e.g.

exercise, relaxation, nutrition, smoking and alcohol consumption)

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6. WHAT RULES AND REGULATIONS ARE IN PLACE TO PREVENT AND DEAL WITH FATIGUE?

Each individual Flag Administration is responsible for the development, acceptance, implementation and enforcement of national and international legislation (conventions, codes, guidelines, etc.) that deal with the various fatigue aspects: work hours, rest periods, crew competency and watchkeeping practices. The following international organisations have issued various conventions and other instruments that address fatigue: • International Labor Organisation (ILO)

Convention Concerning Seafarers’ Hours of Work and the Manning of Ships – ILO Convention No.1801;

• International Maritime Organisation (IMO) International Convention on Standards of Training Certification and Watchkeeping for

Seafarers, 1978, as amended in 1995 (STCW Convention)2; Seafarer’s Training, Certification and Watchkeeping Code (STCW Code) Parts A3 and B4; International Safety Management Code (ISM Code)5; and various guidelines/recommendations.

In addition to the international standards, company and flag administration policies, which may be more stringent in some cases, should be followed on board all vessels.

7. HOW DOES FATIGUE RELATE TO THE ILO AND IMO INSTRUMENTS?

The following ILO instruments contain guidance on fatigue related aspects: • Convention No. 180

This convention introduces provisions to establish limits on seafarers’ maximum working hours or minimum rest periods so as to maintain safe ship operations and minimize fatigue. The text from the Convention is provided in the Appendix.

• Other Conventions

Other ILO Conventions related to fatigue include the following convention numbers: 92, 133, 140, 141 and 147. Each introduces minimum habitability requirements (e.g. noise control and air conditioning) on board vessels.

The following IMO instruments contain guidance on fatigue related aspects: • ISM Code

This Code introduces safety management requirements on shipowners to ensure that conditions, activities, and tasks (both ashore and afloat) that affect safety and environmental protection are planned, organized, executed and verified in accordance with company requirements. The fatigue related requirements include:

1 Not yet in force. 2 Mandatory instrument. 3 Mandatory instrument. 4 Recommendatory guidance. 5 Mandatory instrument.


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1. manning of vessels with qualified and medically fit personnel; 2. familiarization and training for shipboard personnel; and 3. issuance of necessary support to ensure that the shipmaster’s duties can be adequately

performed.

• STCW Convention and STCW Code The STCW Convention requires that Administrations, for the purpose of preventing fatigue, establish and enforce rest period requirements for watchkeeping personnel. In addition, the Convention sets minimum periods and frequencies of rest. Part A of the Code requires posting of the watch schedules. Part B of the Code recommends that record keeping is useful as a means of promoting compliance with the rest requirements.

• Resolution A.772(18) 6 – Fatigue Factors in Manning and Safety This Resolution provides a general description of fatigue and identifies the factors of ship operations which may contribute to fatigue.

• Other Instruments The Appendix contains a list of IMO instruments identified as having some applicability to crew fatigue.

6 Resolutions are not binding on governments, however their content is in some cases implemented by government through incorporation in domestic legislation.

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REFERENCES 1International Maritime Organization (IMO) & International Labour Office (ILO) (1999)- IMO/ILO Guidelines for the Development of Tables of Seafarers’ Shipboard Working Arrangements and Formats of Records of Seafarers’ Hours of Work or Hours of Rest. IMO – London, United Kingdom International Transport Workers’ Federation (1997) - Seafarer Fatigue: Wake up to the dangers. IMO, MSC 69/INF.10 - United Kingdom. Kroemer, K.H.E., & Grandjean, E. (Re-printed 1999) – Fitting the Task to the Human. Taylor & Francis Ltd. – London, United Kingdom. McCallum, M.C., & Raby, M., Rothblum A. (1996) - Procedures for Investigating and Reporting Human Factors and Fatigue Contributions to Marine Casualties. Report No. CG-D-09-97. Batelle Seattle Research Center and U.S. Coast Guard Research and Development Center – Conneticut, United States. Moore-Ede M., Mitchell R. E., Heitmann A., Trutsche U., Aguirre A., & Hajarnavis H. (1996) - Canalert 1995: Alertness Assurance in the Canadian Railways - Circadian Technologies, Inc. – Massachussets, United States. Parker, A.W., Hubinger, L.M., Green, S., Sargent, L., & Boyd, R. (1197) - A survey of the health, stress and fatigue of Australian Seafarers - Australian Maritime Safety Authority - Australia. Pollard J.K., Sussman E.D., & Stearns M. (1990) - Shipboard Crew fatigue, Safety and Reduced Manning. Report No. DOT-MA-RD-840-90014. John A. Volpe National Transportation Systems Center – Massachussets, United States. Sandquist T., Raby M., Maloney A.L., Carvalhais T. (1996) - Fatigue and Alertness in Merchant Marine Personnel: A field study of work and sleep patterns. Report No. CG-D-06-97. Batelle Seattle Research Center and U.S. Coast Guard Research and Development Center – Conneticut, United States. Transportation Safety Board of Canada (1997) - A Guide for Investigating for Fatigue – Canada. United Kingdom National Union of Marine Aviation and Shipping Transport Officers (1997) - Give us a Break: NUMAST Report on Fatigue. IMO, MSC 68/INF. 9 - United Kingdom. Videotel (1998). Fatigue and Stress at Sea [video] - London, United States.

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ANNEX 7


FATIGUE AND THE TRAINING INSTITUTION AND MANAGEMENT

PERSONNEL IN CHARGE OF TRAINING

Foreword

The Guidelines on Fatigue contain practical information that can assist interested parties (Naval architects/Ship designers, owners/operators, Masters, Officers, other crew members and training institutions) to better understand and manage fatigue. The guidelines provide information on the potential dangers of fatigue and ultimately the effect on the health and safety of the personnel working on ships. The guidelines contain information on the symptoms and causes of fatigue, and address solutions to combat fatigue in order to improve associated health problems and prevent fatigue related accidents from occurring. The guidelines have been divided into nine modules, as follows:


Personnel in charge of Training 21. Module 6 Shipboard Fatigue and the Owner/Operator/Manager 22. Module 7 Shipboard Fatigue and the Naval Architect/Ship Designers 23. Module 8 Fatigue and the Maritime Pilot 24. Module 9 Fatigue and Tugboat Personnel 25. Appendix Fatigue related documentation It is recommended that all parties become familiar with Module 1 prior to using Modules 2 - 9. Module 1 contains pertinent background information on the subject of fatigue. Module 5 contains practical information intended for the Training Institution and Management Personnel in charge of Training. It is recommended that they become familiar with all the other Modules or at least with Modules 2, 3 and 4 respectively (Fatigue and the Rating, Fatigue and the Ship’s Officer, Fatigue and the Master).


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FATIGUE AND THE TRAINING INSTITUTIONS AND MANAGEMENT

PERSONNEL IN CHARGE OF TRAINING 1. WHAT ARE THE OBJECTIVES OF EDUCATING STUDENTS ABOUT FATIGUE?

Fatigue can be defined and described. The goal of fatigue training is to help students understand the general concept of fatigue and be able to relate to it personally. Achieving this goal will create a foundation upon which the more specific topics of seafarer fatigue can be addressed.

The initial objective is to develop both an awareness of the principle dimensions of fatigue and instill an acceptance that all people experience fatigue – fatigue is not a personal shortcoming or weakness, but rather a part of the human condition. It is inevitable that some students will resist or deny the possibility of personally experiencing fatigue, but it is essential that students become aware of their own vulnerability to fatigue in order for training to reach a full and desired effect.

The secondary objective is for students to comprehend short and long-term fatigue symptoms, including effects and possible preventive and mitigating measures, specifically regarding seafaring. Possible preventive and mitigative techniques should be introduced only after a reasonable level of personalization and an acceptance of fatigue has been achieved. Many known fatigue preventive-measures/mitigating-techniques within the shipboard environment lie outside the power of a single individual or appear impossible to counteract (such as the rearrangement of four-on/eight-off watches, changing ship design, or modifying voyage schedules). This realisation can discourage and overwhelm students for whom fatigue is a new concept. For this reason, it is recommended that instructors avoid using these very solutions as examples for the initial introduction of fatigue. However, these particular solutions might be very well suited for shipowners or ship management training sessions.

The tertiary objective is for students to develop strategies for preventing or minimizing fatigue within their places of work. All points and issues raised during earlier discussions should be integrated.

2. WHAT APPROACHES AND TECHNIQUES ARE SUCCESSFUL FOR TEACHING

FATIGUE?

A wide variety of teaching techniques may be employed in order to accomplish the objectives referenced above. While the concepts of fatigue and prevention must be equally stressed, it remains most important that students personalize or “own” these concepts. Otherwise, the desired results will be nearly impossible to achieve.

It is imperative that instructors personalize the concept of fatigue by engaging students early on (the initial objective). Group discussion should be “kicked-off” by inviting students to

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share their own words for defining fatigue. Once various descriptions are shared, a consensus about the existence of, and the definition for, fatigue should be reached. Students should then be invited to share their own experiences. At this point, no real effort should be made to direct the conversation to a specific workplace or to seafaring. The instructor should point out that many people deny their personal experiences with fatigue or may not wish to recall them in public. Reminding the class of the fact that all people experience fatigue may help encourage students who previously denied any experience to acknowledge their own. In the end, it is very important that each individual accepts the concept of fatigue and is able to relate to it personally.

After determining that students have accepted the concept, the instructor should direct the training toward the concept of seafarer fatigue and preventive measures/mitigating techniques (the secondary objective). At this point, modules 2, 3, and 4 can be utilized to specifically tailor the training to the audience (such as ratings, officers, or masters). Specific items to be addressed and referenced include the causes, effects, mitigative and preventive factors, rules, and regulations concerning seafarer fatigue, and so forth.

The success of the training is directly related to whether or not the students personalize the concept. The instructor’s professional opinion is the best way to measure the progress of the students. Likewise, it is the instructor who can best provide emphasis as needed to reach each student. Computer Based Training (CBT) could prove a valid method of delivery, but it would require careful design to ensure that each student “personalizes” the concept before s/he progresses to the secondary and tertiary objectives. It is true that any increased level of awareness is better than no awareness, but a truly effective training session must involve student feedback and should gauge their progression. No matter what pedagogical approach is chosen, the subject matter of this training can be greatly enhanced by video presentations and similar audio-visual aids.

3. WHAT CAN BE LEARNT FROM EXPERIENCE?

The final summary stage of training integrates the initial and secondary objectives and focuses on what the student will do after leaving the training session (the tertiary objective). Ideally, this new knowledge will be taken back to the workplace and put into practice. Prevention measures and mitigation techniques can become a way of life for the student who appreciates the concept of fatigue and its effects on seafaring. Lessons learnt will provide a means to develop useful strategies to prevent or minimize fatigue. The instructor should review the previously shared personal experiences and direct the conversation toward the “lessons learnt” or strategies, as students see them. The focus should then shift toward specific experiences (case studies) within the seafarer’s workplace. At this time, select case studies will also be instrumental in showing what each student should try to do upon returning to the workplace.

Three general learning objectives with desired training outcomes form the basis for a class outline or syllabus:

Objective One: Those successfully meeting the first objective of the course should be able to define fatigue, relate to fatigue on a personal level, and recognize the signs of fatigue.


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Objective Two: Those successfully meeting the second objective of the course should be able to understand and recognize the characteristics of short term and long term fatigue including the effects and consequences of these effects on the seafarer. They should be able to understand what techniques are presently known which would prevent fatigue, and should understand the techniques and measures that might be used to mitigate fatigue.

Objective Three: Those successfully meeting the third objective of the course should be able to integrate their knowledge of fatigue and preventive-measures/mitigative-techniques into the workplace. These strategies will result in the reduction of personal fatigue and its consequences.

4. HOW CAN WE DISSEMINATE THE LESSONS LEARNT?

Lessons learnt play a key role in helping students develop strategies for the workplace. They are also useful in reinforcing awareness of fatigue among seafarers, shipowners, managers, and naval architects. A periodic summary of lessons learnt could be circulated on a ship-by-ship or company-by-company basis or even by governmental agencies to relevant populations. Various non-profit organizations (such as the Seamen’s Church Institute) can also be instrumental in passing on “lessons learnt.” The subject of fatigue also fits well within companies, port authorities, and government agencies that print and distribute publications with a safety focus. CD-ROMs, videos, and Internet web-sites are another useful tool for dissemination. Furthermore, examples showing how fatigue affects other transportation industries could enhance the seafarer’s understanding of how pervasive and far-reaching the problem is. Distributing these lessons will allow the government, shipowner/manager, or shipmaster to demonstrate their commitment to the awareness and prevention of seafarer fatigue.

5. WHY INCLUDE CASE STUDIES/EXAMPLES?

As seen in the tertiary objective, the development of strategies for “life after the training session” is critically important. In this regard, it is necessary to incorporate case studies/examples into the training. These cases serve to support the “lessons learnt” portion of the training. Case studies from all transportation industries are useful, but the majority should focus on the maritime sector and preferably that sector with which the student is involved (ships, barges, ratings, officers, etc.). The cases can be used to provide a picture of what happened, probable causes, and what can be done differently to prevent a reoccurrence.

Case studies are available from a number of sources. Insurance companies (particularly the P and I Clubs) should be encouraged to share their data on fatigue related claims, including the costs of such claims. The International Maritime Organization’s (IMO) efforts on casualty statistics and investigations should be heightened and their results should be widely distributed. Newly created reporting schemes on accidents and near misses might generate a volume of information in this area. Finally, the IMO Harmonized reporting procedures (MSC/Circ.827) should be discussed in training sessions. It is hoped that the results of some of the reports can be shared in a “case study” manner.

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References

IMO – Training Course for Instructors. McCallum, M.C., & Raby, M., Rothblum A. (1996) - Procedures for Investigating and Reporting Human Factors and Fatigue Contributions to Marine Casualties. Report No. CG-D-09-97. Batelle Seattle Research Center and U.S. Coast Guard Research and Development Center - Groton, Conneticut. Parker, A.W., Hubinger, L.M., Green, S., Sargent, L., & Boyd, R. (1197) - A survey of the health, stress and fatigue of Australian Seafarers - Australian Maritime Safety Authority - Australia. Transportation Safety Board of Canada (1997) - A Guide for Investigating for Fatigue - Canada. Videotel (1998). Fatigue and Stress at Sea [video]. London.

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ANNEX 8


SHIPBOARD FATIGUE AND THE OWNER/ OPERATOR/MANAGER

Foreword

The Fatigue guidelines contain practical information that can assist interested parties (Naval architects/Ship designers, owners/operators, Masters, Officers, other crew members and training institutions) to better understand and manage fatigue. The guidelines provide information on the potential dangers of fatigue and ultimately the effect on the health and safety of the personnel working on ships. The guidelines contain information on the symptoms and causes of fatigue, and address solutions to combat fatigue in order to improve associated health problems and prevent fatigue related accidents from occurring. The guidelines have been divided into nine modules, as follows:

1. Module 1 Fatigue 2. Module 2 Fatigue and the Rating 3. Module 3 Fatigue and the Ship’s Officer 4. Module 4 Fatigue and the Master 5. Module 5 Fatigue and the Training Institution and Management Personnel in charge of Training 6. Module 6 Shipboard Fatigue and the Owner/Operator/Manager 7. Module 7 Shipboard Fatigue and the Naval Architect/Ship Designer 8. Module 8 Fatigue and the Maritime Pilot 9. Module 9 Fatigue and Tugboat Personnel 10. Appendix Fatigue related documentation It is recommended that all parties become familiar with Module 1 prior to using Modules 2 - 9.; Module 1 contains pertinent background information on the subject of fatigue. Module 6 contains practical information intended for the Owner/Operator/Manager. It is recommended that they become familiar with Modules 2, 3 and 4 respectively (Fatigue and the Rating, Fatigue and the Ship’s Officer, Fatigue and the Master).


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SHIPBOARD FATIGUE AND THE OWNER/ OPERATOR/MANAGER

1. IS FATIGUE AN IMPORTANT ISSUE IN SHIPBOARD OPERATIONS?

Fatigue has been recognized as an important Occupational Health and Safety (OH&S) issue for seafarers. Fatigue has the potential to greatly increase the risk of accidents and injuries in the work place. It disrupts body rhythms and results in poor sleep quality, digestive problems, delusions, confusion, lethargy, respiratory problems, depression, irritability, neurosis and temporary psychosis. Fatigue adversely affects crew performance. It diminishes attentiveness and concentration, slows physical and mental reflexes and impairs rational decision making capability. An assessment of accidents occurring in the last six months of 1995 indicated that 16% of critical vessel casualties, and 33% of injuries, were partly due to human fatigue.1 Clearly, addressing the issue of fatigue should have a positive effect on personnel safety and has the potential to cut cost for the shipowner, operator or manager by reducing injury and physical damage to high value assets and the environment. Fatigue occurs primarily because an individual cannot get sufficient rest to recover from the effects of having been awake or heavily stressed for a prolonged period. The level of fatigue experienced will be influenced by additional factors apart from the wake period. The type of work undertaken, the environment in which the individual works and lives, and the time of day in which the work is done could all contribute to the level of fatigue experienced. One of the best ways to mitigate the effects of fatigue is through the accumulation of adequate recovery sleep. However, obtaining adequate recovery sleep can be difficult depending on factors like work schedule, circadian rhythm and the physical environment. The normal sleep-wake cycle of human beings is controlled by a temperature rhythm, referred to as the circadian rhythm. This rhythm actively promotes sleep at night and wakefulness during the day. As a result, work at night is likely to be more fatiguing and an individual is less likely to be able to accumulate restful sleep during the daytime period when they are off watch. These persons will generally get less sleep during the day, than if they were sleeping for an equivalent period at night.2 Furthermore, day sleepers sleep lightly and are thus easily disturbed by noise, temperature, etc. It is clear the management process must take this factor into account to effectively cope with crew fatigue.

2. HOW DOES FATIGUE AFFECT CREW PERFORMANCE? In order to understand the physiological effects of fatigue, it is useful to describe these effects in relation to a known detriment to performance. In recent studies, the effect of fatigue was found to be comparable to those of alcohol, in terms of negatively impacting performance. One study found that a period of sustained wakefulness of 18 hours was comparable to a Blood Alcohol Concentration (BAC) of 0.05%.3 As sleep deprivation continued for 24 hours, the effects of fatigue equated to a BAC of 0.10%. What is even more alarming is that the subjects of this study were well-rested students (they had not accumulated a sleep debt prior

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to the study) who were not required to undertake any hard physical activity during the period. Similar effects can be expected from other populations, and in fact, it might be possible that the effects of sleep deprivation for older individuals would be greater. Both quality of sleep and recovery from fatigue are known to worsen with age. Factors, such as the following, will have an effect on the level of fatigue experienced in a given period: (a) the time of day when work was started and completed, (b) the amount and timing of rest over the previous seven days, (c) the activities undertaken during the period of work, and (d) the environment in which work was carried out. If this level of performance degradation was due to alcohol intoxication at sea, this would be considered unacceptable. In view of the similarity between the effects of alcohol and fatigue, it is perhaps appropriate that both be considered in a similar fashion. Other research has shown that periods of sustained operations for 24 hours result in a drop in performance of about 25%.4 Specifically, fatigue will have a detrimental effect on higher level mental functions prior to the more obvious effects such as falling asleep on watch or mood change becoming apparent. Loss of higher mental functions will degrade the ability to solve complex problems or rapidly analyze information. A further danger is the likelihood that higher mental skills will be affected before any noticeable reduction in routine or simple activities. One way to explain how the loss of sleep or rest can affect seafarers is to consider bridge watchkeeping. While on watch, sleep loss has been reported to have the following effects: • Slowed reaction • Delayed or false response • Failure to respond at the correct time • Slowed thinking and diminished memory These outcomes each pose a risk to any position aboard, but especially those that have critical safety responsibilities. Should an individual fail to carry out an allotted task due to fatigue, the crew runs the risk of injury or accident. Any risk management strategy must focus on mitigating the potential for such hazards to arise by addressing the causes of fatigue. Systems and work procedures should be critically examined to engineer out design deficiencies that could contribute to fatigue.

3. WHAT ELEMENTS OF FATIGUE CAN THE SHIPOWNER, /OPERATOR, OR /MANAGER INFLUENCE?

While it is not possible for Shipowners, Operators and/or Managers to regulate and oversee the sleeping habits of every crewmember on every vessel, it is within their capability to establish a fatigue management system. Hours of work are presently controlled by a prescriptive formula set out in Chapter VIII of the Convention on Standards of Training, Certification and Watchkeeping for Seafarers (STCW) 1978/1995. Managers should be aware (when applying these hours of work limitations) that considering the effects of circadian rhythm and sleep debt are important for ensuring that rest periods are of high quality. It also cannot be too highly stressed that rest means rest, not substituting a different form of work. Some necessary elements to an effective fatigue management system are as follows:5

• objective measurement of the causes and effects of fatigue


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• comprehensive programmes comprise several elements - training and education on fatigue and shiftwork for all stakeholders (watchkeeping); - planning tools such as fatigue modelling or rosters (watchkeeping systems) and work

arrangements - impairment testing programs, auditing the results of previous initiatives

The bullet describing comprehensive programmes details those activities that shipowners, operators and/or managers can implement in order to manage some of the risks involved with fatigue. The primary implication for management is to monitor and assess the effectiveness of fatigue management routines within their control. Some organisations already maintain records of hours worked. However, these hours are normally assessed against the criteria set out by the STCW convention or similar instruments. Taking the effects of circadian rhythm into account can strengthen this approach. Planning tools such as fatigue modelling or rosters (watchkeeping systems) and work arrangements, which take these effects into account, enable management to do the following: • Analyse planned work routines by management to ascertain the risk of fatigue • Monitor work hours on board the vessel to determine whether or not the risk of fatigue is

increasing as a result of the work arrangements or from any variations that may have occurred

• Analyse and comparing information related to hours of work that will determine the effectiveness of employed routines, compared to other alternatives

Such modelling systems are becoming more readily available and systems that are applicable to the maritime environment are on the market. It is important to choose a system that has been validated by a number of studies and has been utilised in transport application.6 Overall, it is important that management adopt a fatigue management system that is tailored to the individual enterprise.

4. HOW CAN OWNERS/ OPERATORS/MANAGERS ENSURE THAT FATIGUE PREVENTION IS PRACTICED ONBOARD? Management should consider the following in developing fatigue management policies and systems: • ISM Code requirements for clear, concise guidance on operational procedures on board • The need for joining crews to be adequately rested before assuming duties • Scheduling time for proper hand over on crew change • Voyage length, time in port, length of service and leave ratios • Multicultural issues; language barriers, social, cultural and religious isolation • Interpersonal relationships, stress, loneliness, boredom, social deprivation and increased

workload as a result of small crew numbers • Provision for shore leave and onboard recreation, family communication • Watchkeeping arrangements • Job rotation • Improved berthing spaces and accommodations • Proper nutritional quality and quantity of food • Read Modules 2-4 for additional potential managerial mitigation tools • Modification of present ship design or future designs

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As noted in the previous section, an effective fatigue management system requires training. Ensuring the crew understands the necessity of getting regular rest and the implications of being fatigued (both to themselves and to the safety of the ship and/or those working with them) should be part of the education process. This process, as with any other training, needs to be ongoing in nature and may be assessed as part of management’s supervision of the vessel and its crew. This training occurs in a system where the results of implementing mitigating strategies can be assessed. This implies that an information system should be established between management and the crewmembers of the vessel. Such a system would provide feedback regarding hoursof-work by each crewmember. Such information would allow management to assess the status and effectiveness of work arrangements and confirm that work arrangements are being adhered to. It may be impractical and unpopular to require crews to report exactly what they did during their time off work. Even though this will affect the precision and accuracy of tallied sleep accumulation results, the feedback on work/sleep still provides the basis by which management can monitor the effectiveness of their risk mitigation strategy.

5. WHAT RULES AND REGULATIONS ARE IN PLACE TO PREVENT AND DEAL WITH FATIGUE (INTERNATIONAL, NATIONAL AND MANAGEMENT)? As discussed in the previous sections, Chapter VIII (Fitness for duty) of the STCW convention sets limits on the hours of work and minimum rest requirements for watchkeepers. However, it does not stipulate minimum requirements for those not keeping watches. The limits described in Table VIII/1 of the convention have been incorporated into national regulation in some countries. This action was taken in order to comply with the requirement of the STCW convention so that “each administration shall, for the purpose of preventing fatigue… establish and enforce rest periods for watchkeepers.” In addition to the STCW convention, the International Labour Organisation has developed ILO Convention No 180 (Seafarers Hours of Work and the Manning of Ships 1996). This convention requires governments to establish a work hour regime for crew members based on either minimum rest hours or maximum working hours, which can be undertaken in a single day or over a seven-day period. ILO 180 has not yet entered into force; however, this convention has been included in the new Protocol to ILO 147 (Merchant shipping convention). Nations that ratified ILO 147 are entitled to inspect foreign flagged vessels to determine whether work standards, as required by ILO 147, are being complied with once the Protocol has been ratified by a sufficient number of countries and enters into force. STCW 78/95 and ILO 180 (once ratified) are relevant to the implementation of the ISM code in so much as the code requires operators to “maintain their vessel in conformity with the provisions of the relevant rules and regulations.” Ensuring that those on board are fit to undertake their duty is relevant to the maintenance of the vessel in this context as it has an effect upon the seaworthiness of the vessel. Experience with the limits — set by STCW and ILO 180 — is needed to verify which conditions require supplemental information or modifications. However, these requirements must be examined with respect to other factors such as sleep propensity at given times of the


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day. A rest break taken between the hours of 0000 and 1200 may result in a sleep of 7 to 8 hours compared to a duration of only 5 to 6 hours for a rest break taken in the latter half of the day. For countries that have independent OH&S legislation for their maritime industry, this factor will become more significant with wider acceptance of fatigue modelling and fatigue risk management. Under such circumstances, compliance with the requirements and the use of risk management tools, where available, will become necessary.

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References

1McCallum M.C, Raby M and Rothblum A.M (1996) – Procedures for Investigating and Reporting Human Factors and Fatigue Contributions to Marine Casualties. Report No CG-D-09-97. National Technical Information Service – Virginia, United States. 2 Folkard S and Barton J (1993) – Does the ‘Forbidden Zone’ for sleep onset influence morning shift sleep duration? – Ergonomics. 36(1-3): 85-91 - Australia. 3Dawson D, Lamond N, Donkin K and Reid K (1997) – Quantitative Similarity between the Cognitive Psychomotor Performance Decrement Associated with Sustained Wakefulness and Alcohol Intoxication – From the minutes of the AAPMA 36th Biennial Conference 1998 - Australia. 4Belenky G, Balkin T.J, Redmond D.P, Sing H.P, Thomas M.L, Thorne D.R and Wesensten N.J (1998) – Sustaining Performance during Continuous Operations: The US army’s Sleep Management System - taken from The 3rd International Conference on fatigue and Transportation 1998 - Australia. 5Dawson D, Fletcher A and Hussey F (1999) – Fatigue and Transport, Report to the Neville Committee – The Centre for sleep Research, University of South Australia - Australia. 6Reid T, Roberts T. and Dawson D. (1997) – Improving Shiftwork management II: Shiftwork and Health – Occupation Health and Safety 1997, 13(5): 439-450 – Australia/New Zealand.

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ANNEX 9


SHIPBOARD FATIGUE AND THE NAVAL ARCHITECT/SHIP DESIGNER

Foreword

The Fatigue guidelines contain practical information that can assist interested parties (naval architects/Ship designers, owners/operators, Masters, Officers, other crew members and training institutions) to better understand and manage fatigue. The guidelines provide information on the potential dangers of fatigue and ultimately the effect on the health and safety of the personnel working on ships. The guidelines contain information on the symptoms and causes of fatigue, and address solutions to combat fatigue in order to improve associated health problems and prevent fatigue related accidents from occurring. The guidelines have been divided into nine modules, as follows:

11. Module 1 Fatigue 12. Module 2 Fatigue and the Rating 13. Module 3 Fatigue and the Ship’s Officer 14. Module 4 Fatigue and the Master 15. Module 5 Fatigue and the Training Institution and Management Personnel in charge of Training 16. Module 6 Shipboard Fatigue and the Owner/Operator/Manager 17. Module 7 Shipboard Fatigue and the Naval Architect/Ship Designer 18. Module 8 Fatigue and the Maritime Pilot 19. Module 9 Fatigue and Tugboat Personnel 20. Appendix Fatigue related documentation It is recommended that all parties become familiar with Module 1 prior to using Modules 2 - 9. Module 1 contains pertinent background information on the subject of fatigue. Module 7 contains practical information intended for the Naval Architect/Ship Designer, such as information on design guidance and applicable regulations.


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SHIPBOARD FATIGUE AND THE NAVAL ARCHITECT/SHIP DESIGNER

1. WHY DO THEY NEED TO KNOW ABOUT SHIPBOARD FATIGUE?

The International Maritime Organisation (IMO) has taken steps to publicise the role that human fatigue is increasingly recognised to play in Maritime Accidents, e.g. MSC/Circ.565. Crew fatigue jeopardises ship safety when it leads to human error. Human error is believed to be the major cause of accidents across many industries (Donaldson, 1994). Evidence for the role that it plays in maritime accidents has been provided by recent submissions to IMO, e.g. those made by Japan (MSC 71/INF.8; MSC 69/INF.16); Finland (MSC 68/INF.15); and Australia (MSC 69/INF.15). In addition to accidents, human fatigue also affects the potential for operational problems, system breakdowns and near miss-accidents. Fatigue can detrimentally affect factors such as decision-making, which ultimately leads to undesirable situations.

In addition to the threat of ship safety, shipboard fatigue can jeopardise seafarers’ physical and psychological health, at a high cost to the individual and the industry. Seafarers work in a physically demanding environment that requires a high degree of alertness and concentration. Exhausted seafarers are more vulnerable to the many hazards onboard ships, resulting in slips and falls, strikes by falling objects, burns, body strains and other injuries. Injury claims from P&I Club statistics illustrate how much these hazards cost the industry, in addition to lost time and vessel delays. Sleep-deprivation is among the main causes of seafarers’ fatigue, but it is not the sole cause. Crew also become fatigued as a result of living and working onboard. This module will concentrate on guidance for improving the ambient environmental conditions onboard ship, as this is the main area where class rules and guidance can be used to alleviate fatigue. However, there is a limit on what can be achieved through design intervention with regards to the ambient environment. In light of this, the working environment and the working practices should be designed to reduce or compensate for crew fatigue. This module deals with design impacts and should therefore be read in conjunction with the other modules. Reducing shipboard fatigue will require orchestrated action by many groups, including flag states, shipowners and operators. Naval architects and ship designers make their unique contribution by improving the design of shipboard conditions.

2. HOW DOES FATIGUE AFFECT CREW PERFORMANCE? Fatigue can arise from sleep-deprivation, from physical or mental exhaustion; even from the boredom of watchkeeping in the still of the night. Whatever the cause, the effect of fatigue on crew performance can be crippling, bedevilling safe operations which rely on alertness and concentration. Fatigue affects crew performance in a number of detrimental ways: • Causes drowsiness • Impairs perception (e.g. causing failure to detect visual or auditory stimuli) • Clouds judgement • Slows reactions (physical and mental) • Reduces motivation, encouraging apathy

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The effect fatigue has on seafarers’ performance is now well-understood thanks to comprehensive studies which were undertaken on the subject: 1. Parker A.W., Hubiner L.M., Green S., Sargent L. and R. Boyd (1997). A survey of the

health, stress, and fatigue of Australian seafarers. Conducted on behalf of the Australian Maritime Safety Authority.

2. Sanquist T.F., Ravy M., Maloney A.L. and A.B. Carvalhais (1996). Fatigue and alertness

in merchant marine personnel: a field study of work and sleep patterns. 3. Seafarer fatigue: Wake up to the dangers. Submitted to IMO by the International

Transports Workers’ Federation. (IMO MSC 69/INF.10.). 4. Pollard, J.K., Sussman, E.D and Stearn, S.M.(1990). Shipboard Crew Fatigue, Safety and

Reduced Manning. (US DOT MA-RD-840-90014). US Department of Transportation, Maritime Administration.

The first two studies were conducted on behalf of the Australian and United States administrations respectively, whilst the third study, undertaken by the International Transport Workers’ Federation, analysed the views of seafarers all over the world:

“Based on responses from 2,500 seafarers of 60 different nationalities, serving under 63 different flags, the report demonstrates the disturbing extent of excessive hours and fatigue within the industry.” (IMO MSC 69/INF.10.).

These reports provide clear evidence to the extent of the problem and the ways in which fatigue is detrimental to performance. The third report contains a number of recommendations for improvements, the most pertinent for naval architects and ship designers being (a) the consideration of shipboard ergonomics and the ability to gain an adequate quality of sleep onboard, and (b) the improvement of shipboard conditions. Before examining the relationship of ergonomics to fatigue, some discussion will be given to those aspects of fatigue that can be influenced by the application of ergonomics.

3. WHAT ELEMENTS OF FATIGUE CAN BE INFLUENCED BY THE DESIGN PROCESS? There are various aspects of seafarers’ fatigue that can potentially be influenced in the design process. These elements can be grouped in the following way:

• Sleep-interruption or deprivation due to accommodation design All aspects of crew cabins can be looked at to improve this situation, e.g. accommodation location, soundproofing measures, cabin/bunk designs and configuration.

• Workplace design

Workplace design, particularly those which require unnecessary sustained exertion (physical or mental), can be offset by better design of the workplace or by better upkeep of the original condition of the ship.


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• Harsh ambient environmental conditions For example, too much noise, excessive vibration, inadequate ventilation, poor lighting, excessive heat or cold, too much or too little humidity, poor air exchange in enclosed spaces where people live and work can cause fatigue.

• Boredom

This particular boredom is due to little change in the environment during work tasks or loads. These states include monotony, reduced vigilance and mental satiation. While most of the solutions for these conditions might be related to modifying work practices, others might involve the innovative use of the following (all can be used to stave off fatigue through lack of stimuli): - lighting - temperature - sound - smell

• Onboard facilities

Recovery from fatigue can be assisted or hampered by favourable or unfavourable crew onboard facilities including the design of features within: - accommodations - recreational facilities - galleys, mess rooms, food preparation and storage areas - hygiene facilities - medical facilities

• Ship motions

Fatigue results from ship motions or seakeeping provisions relating to weather and sea

states.

Fatigue that results from the design of the working environment can be alleviated by improvements to the design of the working environment. General ‘ergonomic’ principles have been developed to aid designers. These are examined in the next section.

4. WHAT DOES ERGONOMICS HAVE TO DO WITH SHIPBOARD FATIGUE?

The discipline of ergonomics is founded on the belief that good design supports human performance and is not limited to aesthetic qualities. A well-designed work system or piece of equipment, from an ergonomics viewpoint, takes advantage of human capabilities and minimizes the impact of human limitation while ensuring that the equipment or system is fully functional, i.e. designed for human use and meets operational requirements. Ergonomics has been defined as:1

“Ergonomics produces and integrates knowledge from the human sciences to match jobs, systems, products and environments to the physical and mental abilities and limitations of people. In doing so, it seeks to improve health, safety, well-being and performance.”

1 Defined by ISO/TC 159/SC 1/WG 1 ‘Principles of the design of work systems’ Vienna, 6/10/97.

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Ergonomically designed work systems enhance safety, effectiveness, and efficiency. They should also support the tasks done by officers and crewmembers under all conditions, including situations where people may be fatigued. Below are a set of general ergonomic principles2 designed to reduce fatigue by adapting working conditions to the anatomical, physiological and psychological characteristics of people in relation to their work environment: 1. The design of the workspace and work equipment shall take into account constraints

imposed by body dimensions, with due regard to the work process.

2. The design of the work shall be such as to avoid unnecessary or excessive strain in muscles, joints, ligaments, and in the respiratory and circulatory systems. Strength requirements shall be within physiologically desirable limits. Body movements should follow natural rhythms. Body posture, strength exertion, and body movements should be in harmony with each other.

3. The work environment shall be designed and maintained so that physical, chemical and biological conditions have no noxious effect on people but serve to ensure their health, as well as their capacity and readiness to work. Account shall be taken of objectively measurable phenomena and of subjective assessment.

4. The design of the work process shall safeguard workers’ health and safety, promote their well-being, and facilitate task performance, in particular by avoiding overloading and underloading. Overloading and underloading will result in transgressing, respectively the upper or lower limits of the operational range of physiological and/or psychological functions, such as physical or sensory overloading produces fatigue. Conversely, underloading or monotonous work will diminish vigilance.

These general principles can be refined into a collection of more specific criteria, which are context-dependent. For example, the first principle (consideration of body dimensions) could be refined in terms of criteria for work-surface height, seating arrangements, space, range for controls, handles etc. The vast majority of ergonomic standards give specific guidance at a low-level of detail. Many of these are tailored for specific industries, some for marine. Appropriate standards are referenced throughout the following sections. A few standards give guidance on how to incorporate ergonomics into the design process, e.g. ergonomic principles in the design of work systems. The remaining sections also look at specific help that is available to the ship designer wanting to reduce seafarer’s fatigue. This “help” takes the form of tools, guides, standards, regulations and rules.

5. WHAT TOOLS ARE AVAILABLE FOR DESIGNING/BUILDING A FATIGUE-RESISTANT SHIP? Unfavourable environmental conditions can be instrumental in causing fatigue. Environmental conditions include noise levels, vibration, ship motion, seakeeping qualities of the ship, lighting, temperature and ventilation. These environmental conditions affect crewmembers within their workplace (bridge, engine room, etc.) and accommodation quarters, (including dining, food preparation and storage areas, hygiene and medical support areas.)

2 Taken from: Ergonomic principles in the design of work systems. ISO 6385-1981(E)


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These environmental conditions extend across structural design, propulsion, hull forms and several other aspects of design. Often, constructive solutions may be employed to improve environmental conditions. For example, the transmission of noise can be dampened by the insertion of acoustic insulation; similarly, resilience techniques can be used to alleviate vibration problems. There are a variety of tools such as Finite Element Analysis (FEA) which can assist the ship designer in ensuring that the limits specified by shipowners are not exceeded. These tools can be used for: • Calculating noise limits • Calculating vibration limits • Calculating seakeeping qualities/quality of ride • Analysing ventilation flows • Performing model tests The use of ergonomic standards is also considered to be a major tool for improving the working environment, particularly those that deal with environmental conditions (such as temperature, vibration, ventilation, etc.). Another tool used during design is electronic models. These models are increasingly being used to assess both the impact of environmental conditions as well as ergonomics of workplace. With increasing frequency, electronic models — including virtual reality and three-dimensional computer aided design — are allowing early evaluation of various aspects of design.

6. WHAT RULES ARE AVAILABLE FOR DESIGNING/BUILDING A FATIGUE-RESISTANT SHIP? There are a number of rules, regulations, standards and guidelines designed to enhance environmental conditions, which can be used by the ship designer who wants to reduce seafarer fatigue. As this is a developing area, many of the measures referenced here are provisional.

Accommodation Crew accommodation is usually located in a far from ideal location. It is built around the operation of the ship, being placed directly over the engine room. This area does not give the best quality of ride. In addition, it can be noisy. Acoustic insulation could be used to reduce noise in this area, but it must also be considered in conjunction with measures to increase sleep disturbances that must be heard, i.e. fire alarms. Consideration could be given to ensure that the accommodation area is restful and that it aides in recovery from fatigue, e.g. in terms of decor, easy to clean. Some aspects of crew accommodation, for instance minimum size and acoustic insulation, are subject to regulation such as the International Labour Organisation (ILO) Conventions. The ILO Conventions that address crew accommodation are as follows: • Convention No. 92 concerning crew accommodation on board ship (Revised 1949) • Convention No. 133 concerning crew accommodation on board ship (supplementary

provisions)

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• Convention No. 147 concerning minimum standards in merchant ships • Protocol of 1996 to Convention No. 147 • Recommendation 155 of 1976, recommendation concerning the improvement of

standards in merchant ships • Recommendation No. 140 concerning Crew Accommodation (Air Conditioning) • Recommendation No. 141 concerning Crew Accommodation (Noise Control) Crew accommodation is also subject to National Standards such as The Ministry of Maritime Affairs and Fisheries of Korea, Ship Safety Act: Crew accommodation. Environmental conditions in crew-only spaces Some Classification Societies have rules, most of them being optional rules, for aspects of environmental conditions (i.e. noise and vibration)for certain ship types: • Passenger (e.g. cruise, Ro-Ro ferries) • High speed craft (e.g. Surface Effect Ships, wave piercing catamarans, hydrofoil) • Yachts However, these rules could form the basis for an assessment of any ship type. The variance that lies between the different schemes operated by different classification societies. A number of these Rules include crew-only spaces as well as passenger spaces. Crew-only spaces are defined as the following: • accommodation spaces (e.g. cabins, corridors, offices, mess rooms, recreation rooms) • work spaces • navigation spaces These Rules are contained in: DNV Comfort Class: Tentative Rules for Classification of Ships. Part 5, Chapter 12.

Det Norske Veritas. July 1995

LR Provisional Rules for Passenger and Crew Accommodation Comfort. February

1999. Lloyd’s Register of Shipping

RINA Rules for the Evaluation of Noise and Vibration Comfort on Board Passenger

Ships. January 1999. Registro Italiano Navale

Noise Several IMO requirements and Resolutions aim to protect the seafarer from unacceptable levels of noise: • IMO, Res. A.468(XII) (1981), Code on noise levels onboard ship fixes

permissible maximum limits of noise depending on the type of space.3

• SOLAS Regulation II-1/36 Protection against noise.4

3 Recommendatory Guidance. 4 Mandatory Instrument.


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Relevant Standards on Noise: ISO 2923 Acoustics - Measurement of noise onboard vessels ISO 1999 Acoustics - Determination of occupational noise exposure and

estimation of noise-induced hearing impairment ISO 717/1 Acoustics - Rating of sound insulation in buildings and of

building elements: - Part 1: Airborne sound insulation in buildings and

interior elements. - Part 2: Impact sound insulation.

ISO 140 Acoustics - Measurement of sound insulation in buildings and

of building elements: - Part 4: Field measurements of airborne sound insulation

between rooms - Part 5: Filed measurements of airborne impact insulation

of floors

IEC Publication 60651

Sound level meters


Octave, half-octave and third octave band filters intended for the analysis of sound and vibrations

IEC Publication 60804, and amendment No.1, 1989

Integrating-average in sound level meters


Sound calibrators

Other Standards on Vibration: ISO 2041 Vibration and shock - vocabulary

ISO 2631 Guide for the evaluation of human exposure to whole-body vibration

ISO 4867 Code for the measurements and reporting of shipboard vibration data

ISO 4868 Code for the measurement and reporting of local vibration data of ship

structures and equipment ISO 6954 Mechanical vibration and shock - Guidelines for the overall evaluation

of vibration in merchant ships ISO 6954 is currently the subject of revision. The new version will be more appropriate for measuring the effect on vibration on humans. Relevant National Standards on Vibration VDI 2056 Criteria for assessing mechanical vibrations of machines, Verein

Deutschen Ingenieure, Oct., 1964

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Classification Societies’ Guidelines for Noise and Vibration In addition to the Comfort Notation described above, Classification Societies have guidelines for noise and vibration limits onboard ship, as listed below: NK Guide to ship noise control, 1982

KR Guide to control of ship vibration and noise, 2nd edition, 1997

IACS Unified Interpretation SC82 Protection against noise, 1993

BV Recommendation designed to limit the effects of vibrations onboard,

Guidance note, NI38 A-RD3, 1979

VERITEC

Vibration control in ships, 1985

LR Guidance notes on acceptable vibration levels and their measurement, 1990 Working spaces Regulations and standards exist for dealing with improvements to working spaces which may help in reducing fatigue. Some of the standards are still under development. These measures include bridge layout and navigation equipment, engine rooms, and general ergonomics, as follows.

Bridge Layout and Navigation Equipment IMO MSC/Circular.982, Guidelines on Ergonomic criteria for bridge equipment

and layout5

ISO 8468

Ship’s bridge layout and associated equipment - Requirements and Guidelines

ISO 14612

Ship’s bridge layout and associated equipment - Requirements and Guidelines. NB. This will be renamed to: Ship’s Bridge Layout and Associated Equipment - Additional Requirements and Guidelines for Centralised Functions and Periodic One-Person Operation

IEC 60945

Navigation equipment - general requirements’. This is backed by Assembly Resolution A.694

ASTM Standard Practice for Human Engineering Design for Marine Systems, Equipment and Facilities’. 1995. American Society for Testing and Materials. Standard F1166-95a. West Chonshocken, PA

IACS Unified N1 requirements for One Man Bridge Operated (OMBO) Ships. International Association of Classification Societies. 1992

5 Recommendatory Guidance.


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Engine Rooms IMO MSC/Circular.834, Guidelines for engine room layout, design and

arrangement.6

ISO Shipbuilding—Engine-room ventilation in diesel-engined ships—Design requirements and basis of calculations. ISO 8861

General Ergonomics7 ABS Guidance Notes on the Application of Ergonomics to Marine Systems.

American Bureau of Shipping. January 1998

CEN Safety of machinery—Ergonomic design principles Part 1: Terminology and general principles. EN 614-1, (1994)

CEN Safety of machinery—Temperatures of touchable surfaces—Ergonomics data to establish temperature limit values for hot surfaces. EN 563. (1994)

ILO International data on anthropometry. Eds. Jurgens, H., Aune, I. and Pieper, U. Federal Institute for Occupational Safety and Health, Dartmund. Federal Republic of Germany. 92-2-106449-2. Occupational Safety and Health Series: No. 65, (1990)

ISO Ergonomics principles in the design of work systems. ISO 6385. (Draft)

ISO Ergonomics of the thermal environment—Assessment of the influence of the thermal environment using subjective judgement scales. ISO 10551

ISO Ergonomics of the thermal environment—Principles and application of relevant International Standards. ISO 11399

6 Recommendatory Guidance. 7 Standards for equipment design have been included for completion purposes. Really, they are outside of the remit of the ship designer, being items bought-in by the shipyard. However, ship designers are concerned with the integration of the equipment.

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References Donaldson, Lord (1994) Safer ships, cleaner seas. (Report of Lord Donaldson’s inquiry into the prevention of pollution from merchant shipping). HMSO – London, United Kingdom. IMO, MSC 68/INF.15 Human Errors on the Bridge - A study of Finnish Shipping. IMO, MSC 69/INF.10.Seafarer fatigue: Wake up to the dangers. IMO, MSC 69/INF.15 Fatigue - Groundings and collisions. IMO, MSC 69/INF.16. Report on the investigation into near misses. IMO, MSC 71/INF.8. Report on the investigation into near misses. IMO, MSC/Circ.565. Fatigue as a Contributory Factor in Maritime Accidents. IMO, MSC/Circ.621. Guidelines for the investigation of accidents where fatigue may have been a contributory factor.

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ANNEX 10


FATIGUE AND THE MARITIME PILOT

Foreword

The Fatigue guidelines contain practical information to assist interested parties (naval architects/Ship designers, owners/operators, Masters, Officers, other crew members and training institutions) to better understand and manage fatigue. The guidelines provide information on the potential dangers of fatigue and ultimately the effect on the health and safety of the personnel working on ships. The guidelines contain information on the symptoms and causes of fatigue, and address solutions to combat fatigue to improve the associated health problems and help prevent a fatigue related accident occurring. The guidelines have been divided into nine modules, as follow: 1. Module 1 Fatigue 2. Module 2 Fatigue and the Rating 3. Module 3 Fatigue and the Ship’s Officer 4. Module 4 Fatigue and the Master 5. Module 5 Fatigue and the Training Institution and Management

Personnel in charge of Training 6. Module 6 Shipboard Fatigue and the Owner/Operator/Manager 7. Module 7 Shipboard Fatigue and the Naval Architect/Ship Designer 8. Module 8 Fatigue and the Maritime Pilot 9. Module 9 Fatigue and Tugboat Personnel 10. Appendix Fatigue related documentation It is recomemded that all parties become familiar with Module 1 prior to using Modules 2-9. Module 1 contains pertinent background information on the subject of fatigue. Module 8 contains practical information intended for the Maritime Pilot. It is also recommended that the Maritime Pilot becomes familiar with Module 4 - Fatigue and the Master.


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FATIGUE AND THE MARITIME PILOT

1. WHY AND WHAT SHOULD A MARITIME PILOT KNOW ABOUT FATIGUE?

To begin, fatigue is a biological state to which all individuals are susceptible, regardless of skill, knowledge or training. A pilot’s work environment (irregular and lengthy work hours, working at night, unpredictable duty rosters, and traveling to and from their jobs) can significantly contribute to fatigue. Moving a large vessel in confined waters is a high-risk task and the pilot assigned to that task has a responsibility to the State, the Port Authority and the ship’s master.

Despite the differences among worldwide pilotage services (deep-sea, harbor, river pilots, etc.) and various pilotage systems (call systems, shift systems, etc.), fatigue is a common issue for all Maritime Pilots. There is no one-fits-all approach for addressing fatigue, but there are certain universal principles (lifestyle, rest, medication, workload, etc.) that must be addressed irrespective of the pilotage service or the pilotage system implemented. With that understood, this particular module outlines the symptoms and causes of fatigue for the maritime pilot. It further addresses ways to mitigate fatigue, and as a result, can improve the associated health problems and help prevent a fatigue-related accident from occurring. More specifically, this module focuses on the potential risks of irregular and extended work hours (compared to a regular nine to five day), and ultimately, their effect on the health and safety common to Pilots and their areas of operation.

2. WHAT CAN CAUSE FATIGUE?

The primary cause of both acute and cumulative fatigue in Maritime Pilotage is the disruption to the circadian rhythm due to the 24-hour operation and the accumulation of sleep debt. Fatigue can be either work related or non-work related:

Work Related Unpredictable work and shipping schedules, intense concentration, temperature extremes, adverse weather, and exposure to high-risk situations can all cause fatigue. An Australian1 study revealed that pilots excreted high levels of adrenaline while providing pilotage services (sometimes taking up to two days to return to normal levels) and that pulse rates increased to over 160. This level of physiological stress is one factor of cumulative fatigue.

Other factors include the workload; the time of day at which the pilotage act is performed; the duration of work periods; the length of breaks within and between work periods; and the time of day and the frequency of duty rosters. Boarding vessels with unfamiliar layout, crew etc. (an intrinsic part of maritime pilots’ work) is stressful. Non-work Related Non-work related fatigue can be linked to a disruption within one’s family or social life, financial difficulties or domestic responsibilities. Other contributory causes of fatigue are age and medical fitness. Age related changes such as the need for less sleep, hypertension, loss or deterioration of visual perception, poorer physical condition and the

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increased need for medication may lead to a decline in human performance. Obviously, certain medical conditions will affect work performance, but some not so obvious conditions are sleep apnea, narcolepsy, and insomnia.

3. HOW DOES FATIGUE AFFECT PILOTAGE PERFORMANCE?

Pilots are managers of high-risk situations which require intense concentration and skill level, therefore, any decrease in performance can potentially lead to a catastrophe. A pilot error caused by fatigue can endanger the ship, crew, port and the environment. Some of the more recognizable symptoms of fatigue found in Pilots are stress, mood swings, headaches and gastro-intestinal problems. Fatigue can affect pilot performance by impacting their ability to think clearly, to concentrate, to focus attention appropriately, to assess risky situations, or to act as quickly as necessary.

Table 1 describes some of the possible effects by listing performance impairments and the symptoms associated with them.

TABLE 1

Effects of Fatigue

PERFORMANCE IMPAIRMENT SIGNS/SYMPTOMS 1 Inability to concentrate • Unable to organise a series of activities

• Preoccupation with a single task • Focuses on a trivial problem, neglecting more

important ones • Less vigilant than usual


• Misjudges distance, speed, time, etc. • Fails to appreciate the gravity of the situation • Fails to anticipate danger • Fails to observe and obey warning signs • Overlooks items that should be included • Chooses risky options • Has difficulty with simple arithmetic, geometry,

etc 3 Poor memory • Fails to remember the sequence of task or task

elements • Has difficulty remembering events or procedures • Forgets to complete a task or part of a task

4 Slow Response • Responds slowly (if at all) to normal, abnormal or emergency situations

5 Loss of bodily control • May appear to be drunk • Inability to stay awake • Speech is affected, e.g. it may be slurred, slowed

or garbled 6 Mood change • Quieter, less talkative than usual

• Unusually irritable 7 Attitude change • Unaware of own poor performance

• Too willing to take risks • Ignores normal checks and procedures • Displays a “don’t care” attitude


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Long-term effects of fatigue may lead to cardiovascular diseases, gastro-intestinal diseases, psychiatric problems and stress. Other external sources of stress, such as third party intervention and the threat of competition, can impact heavily on the health of pilots. One of the most alarming consequences of fatigue is uncontrollable micro sleep that may last for only a few seconds to a couple of minutes. The problem with micro sleep is that the person is unaware of it having occurred. Micro sleep lapses have been well documented as causing a number of maritime, and other transportation, incidents.

4. WHAT CAN BE DONE TO MANAGE FATIGUE IN PILOTAGE?

The responsibility for controlling the hazards that may contribute to pilot fatigue, through elimination or minimization, should be shared amongst all parties. These parties are: the relevant authority, those who employ the Pilots’ services and those who have responsibility for scheduling and the safe transit of Pilots to and from ships, and the individual Pilot. The Pilot side of the responsibility is to observe all safe work practices imposed by international/national/local legislation and to contrive to be fit for work. Clear and open lines of communication must be established between the Maritime Pilot, those whom employ the Pilot’s services, and those responsible for scheduling. Good communication between all parties will promote effective controls for workload management, such as vessel scheduling. Workload management by pilots and the competent authorities is a key component in managing fatigue. This will ensure that Pilots do not work excessive hours and that they have sufficient recovery time. The relevant authority and pilots should recognize that high-risk operations within the pilotage area are particularly hazardous when undertaken during a circadian dip, especially the one that naturally occurs between 0300 and 0600. For example, the berthing of large tankers at night is prohibited in some ports because of the risk of a spill. Fatigue Management Systems, such as those instituted in Australia, can help to manage some of the risks associated with fatigue. The Australian system uses a quantitative model to assess the working roster (including rest/work hours, work hours, rest frequency, etc.) in order to balance the hazards that produce fatigue and the forces that lead to recovery. However, it must be noted that not all quantitative models address the fatigue associated with high-risk industries such as pilotage. The use of a fatigue index score modelling2 to formulate and modify rosters can enable organizations to quantify, compare and predict work-related fatigue. These models have shown improvements in fatigue management affecting the lives of pilots, their families and community. Educating pilots, their co-workers and families on the underlying physiology of human performance and the lifestyle necessary for a piloting career may assist in reducing the incidence and consequences of fatigue. Pilots and their families should be aware of the issue of fatigue, the potential consequences, and the practical techniques that can be used to help mitigate fatigue. In summary, pilots should learn to manage their off duty time and lifestyle.

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5. WHAT PERSONAL MEASURES CAN A PILOT TAKE TO AVOID FATIGUE?

A pilot should not begin a work period with a sleep debt or an accumulative sleep debt (the normal requirement less the amount of sleep), as this can be potentially dangerous in terms of human performance. In most cases, two consecutive nights of recovery sleep will recuperate a pilot from a sleep debt. (Note, most adults working a 9-5 job accumulate a sleep debt of five to seven hours Monday to Friday and sleep in on the weekend to recover that debt.) A strategic nap of no more than 30 minutes will aid rejuvenation. Naps longer than 30 minutes will cause sleep inertia where situational awareness is impaired for up to 20 minutes after waking. Management should provide suitable facilities for pilots to take rest breaks between piloting assignments. When at home, the Pilot should develop a regular pre-sleep routine and sleep in a comfortable environment without noise, light or temperature extremes. A Pilot should not exercise or eat a large meal before sleep. Caffeine should be used sparingly as it has many side effects including hypertension, headaches, mood swings and anxiety. Pilots should be encouraged to exercise regularly and to maintain a well balanced diet, avoiding “junk foods” which are often too convenient when working at night. Caffeine consumption should be limited to times of operational necessity and avoided for several hours prior to a sleep period. Avoid alcohol and some over-the-counter medication as these disrupt sleep by disturbing normal sleep patterning. Alcohol in particular suppresses REM sleep (dreaming) and may lead to overall sleep loss. Cold medication containing psuedoephedrine, a stimulant, should be avoided as it can disrupt sleep. Finally, it is important for Pilots to educate their families about the dangers to health and risk to the community of being a fatigued pilot to gain their support.

6. CASE STUDIES

Reporting incidents and/or accidents that involve near misses, personal injury or damage to equipment can assist the understanding of fatigue within the pilotage workforce and contribute to finding ways to deal with the issues associated with fatigue. The following casualty investigation reports are provided as illustrative examples: • The grounding of Panamanian flag vessel “New Reach” occurred on Heath Reef, Great

Barrier Reef on May 17, 1999. The Pilot was in an advanced state of drowsiness. The passage was 464 miles and the pilot was on board for 34 hours.

• The grounding of the vessel “Venus” in St Lawrence River occurred on April 17, 1997. Although not the main cause for the grounding, fatigue was a contributing factor. The Pilot was not in the routine of night work on his first duty turn after a vacation. Further, the Pilot was on duty for approximately 24 hours. (Transportation Safety Board of Canada – Report Number M97L0030)


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• The collision between the bulk carrier “NIRJA” and the “Hamilton Energy” on December 11, 1993 occurred in Hamilton Harbour, Ontario. The Pilot was not adequately rested having had three consecutive assignments in 24 hours. The Pilot may have misjudged the developing situation and did not take effective action in ample time, as a result of being fatigued. Performance degradation manifested in impaired judgement, probably contributed to the occurrence. (Transportation Safety Board of Canada – Report Number M93C0003)

• The grounding of the “Raven Arrow” in the Johnstone Strait, British Columbia on September 24, 1997. After electing to conduct the navigation of the vessel without assistance from the ship’s complement (increasing his workload), the Pilot lost situational awareness and prematurely altered course. Contributing to the occurrence were the following factors: the pilot was probably fatigued (at the time of the occurrence the pilot had been awake for over 19.5 hours); sound navigational principles were not implemented by the bridge team (pilot elected to conduct the navigation of the vessel without assistance from the ship’s complement); and the exchange of information between the pilot and officer of the watch was minimal (officer of the watch had some doubts with respect to course alteration but did not challenge the pilot’s decision). This report goes beyond the individual pilot and fatigue, and addresses fatigue from the perspective of management by examining pilot scheduling and fatigue management. (Transportation Safety Board of Canada – Report Number M97W0197)

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References 1. Berger, Y (1984) - Port Phillip Sea Pilots: an Occupation at Risk. PhD Thesis; Latrobe

University - Australia. 2. Fletcher A. and Dawson D. (1997) - A predictive model of work-related fatigue based on

hours-of-work. Australian Journal of Occupational Health and Safety 13(5) 471-486 – Australia.

Akerstendt T. (2000) – Safety and Fatigue – Australia.

AMPA (2000) - Fatigue Management Standard. Australian Marine Pilot’s Association – Australia.

AMSA (1999) - On Tour Analyses of the Work and Rest Patterns of Great Barrier Reef Pilots: Implications for Fatigue Management. Queensland University of Technology for Australian Maritime Safety Authority – Australia.

Cantwell V. (1998) – Human Factors in Marine Operations: Managing Fatigue, Alertness and Endurance in the Marine Pilot Operations – Maryland, United States. European Maritime Pilot Association (EMPA) - Recommendation 26, Fatigue Prevention. Transportation Safety Board of Canada (1997) – A Guide for Investigating for Fatigue – Canada.

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ANNEX 11


FATIGUE AND TUGBOAT PERSONNEL

Foreword

The Guidelines on Fatigue contain practical information that can assist interested parties (Naval architects/Ship designers, owners/operators, Masters, Officers, other crew members and training institutions) to better understand and manage fatigue. The guidelines provide information on the potential dangers of fatigue and ultimately the effect on the health and safety of the personnel working on ships. The guidelines contain information on the symptoms and causes of fatigue, and address solutions to combat fatigue in order to improve the associated health problems and help prevent fatigue related accidents from occurring. The guidelines have been divided into nine modules, as follow: 6. Module 1 Fatigue 7. Module 2 Fatigue and the Rating 8. Module 3 Fatigue and the Ship’s Officer 9. Module 4 Fatigue and the Master 10. Module 5 Fatigue and the Training Institution and Management

Personnel in charge of Training 11. Module 6 Shipboard Fatigue and the Owner/Operator/Manager 12. Module 7 Shipboard Fatigue and the Naval Architect/Ship Designer 13. Module 8 Fatigue and the Maritime Pilot 14. Module 9 Fatigue and Tugboat Personnel 15. Appendix Fatigue related documentation It is recommended that all parties become familiar with Module 1 prior to using Modules 2-9. Module 1 contains pertinent background information on the subject of fatigue. Module 9 contains practical information intended for Tugboat Personnel. It is recommended that they become familiar with Modules 2, 3 and 4 (Fatigue and the Rating, Fatigue and the Ship’s Officer and Fatigue and the Master respectively).


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Module 9

FATIGUE AND TUGBOAT PERSONNEL

1. HOW CAN YOU RECOGNIZE FATIGUE IN YOURSELF AND OTHERS? You may exhibit one or more changes in behavior when experiencing fatigue. However, one very important fact to remember is that people who are fatigued have a very difficult time recognizing the signs of fatigue within themselves. It is difficult for a number of reasons, but largely because fatigue can affect your ability to make judgements or solve complex problems. The following list describes how fatigue affects your mind and body; you may recognize some of these changes in others (with time, you may learn to identify some within yourself):

A. Physically

• Inability to stay awake (an example is head nodding or falling asleep against your will) • Difficulty with hand-eye coordination skills (e.g., switch selection) • Speech difficulties (it may be slurred, slowed or garbled) • Heaviness in the arms and legs or sluggish feeling • Decreased ability to exert force while lifting, pushing or pulling • Increased frequency of dropping objects like tools or parts • Non-specific physical discomfort • Headaches • Giddiness • Heart palpitations / irregular heard beats • Rapid breathing • Loss of appetite • Insomnia • Sudden sweating fits • Leg pains or cramps • Digestion problems

B. Emotionally

• Increased willingness to take risks • Increased intolerance and anti-social behavior • Needless worry • Reduced motivation to work well • Increased mood changes (e.g., irritability, tiredness and depression)

C. Mentally

• Poor judgement of distance, speed, time, etc. • Inaccurate interpretation of a situation (e.g., focusing on a simple problem or failing to

anticipate the gravity of the situation or failing to anticipate danger) • Slow or no response to normal, abnormal or emergency situations • Reduced attention span • Difficulty concentrating and thinking clearly • Decrease in ability to pay attention

Whenever alertness is affected by fatigue, your performance will be handicapped.

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It is important that you notify your supervisor when you recognize that you or other crewmembers are fatigued. It is important to have an open communication between you and your supervisor regarding fatigue prevention and detection.

2. WHAT CAN CAUSE FATIGUE? Fatigue may be caused and/or made worse by one or a combination of things such as:

• Lack of sleep Only sleep can maintain or restore your performance level. When you do not get enough sleep, fatigue will set in and your alertness will be impaired. (Refer to Section 3)


Fatigue may be caused by poor quality of sleep. This can occur when you are unable to sleep without interruptions or you are unable to fall asleep even though your body tells you to. (Refer to Section 3)




Disturbances while resting such as being woken up unexpectedly, on call (during port operations), or unpredictable working hours (when arriving in port) can cause fatigue.

• Stress

Stress can be caused by personal problems (family), problems with other shipmates, long work hours, work in general, etc. A build up of stress will cause or increase fatigue.





• Ship’s movement

The hip’s movement affects a person’s ability to maintain physical balance. Maintaining balance requires extra energy, which can then cause fatigue. A ship’s pitch and roll motions mean a person might have to use 15-20% extra effort to maintain balance.


Refined sugars (sweets, doughnuts, chocolates, etc.) can cause your blood sugar to rise rapidly to a high level. The downside of such short-term energy is that it can be followed by a rapid drop in blood sugar. Low blood sugar levels can cause weakness, instability, difficulty in concentrating and in extreme cases unconsciousness. Eating large meals prior to a sleep period may disrupt your sleep.


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Medical conditions (i.e. heart problems) and illnesses such as the common cold can cause fatigue. The effect depends on the nature of the illness or medical condition but also the type of work being carried out. For example, common colds slow response time and hand-eye coordination in performance.


Alcohol, caffeine and some over-the-counter medications disrupt sleep. Caffeine consumption can also causes other side effects such as hypertension, headaches, mood swings or anxiety.

• Jet-lag

Jet-lag occurs following long flights through several time zones. It is a condition that causes fatigue in addition to sleep-deprivation and irritability. It is easier to adjust to time zones while crossing from east to west as opposed to west to east. The greatest difficulty in adjustment results from crossing 12 time zones, the least from crossing one time zone. Our bodies adjust at the rate of approximately 1-hour per day


Working consistently “heavy” workloads can cause fatigue. Workload is considered heavy when one works excessive hours or performs physically demanding or mentally stressful tasks. Excessive work hours and fatigue can result in negative effects such as the following:

- Increased accident and fatality rates; - Increased dependence upon drugs, tobacco or alcohol; - Poor quality and disrupted sleep patterns; - Higher frequency of cardiovascular, respiratory or digestive disorders; - Increased risk of infection; and - Loss of appetite.

3. HOW CAN YOU PROTECT YOURSELF FROM THE ONSET OF FATIGUE?

A. Sleep Issues Sleep is the most effective strategy to fight fatigue. Sleep loss and sleepiness can degrade every aspect of a person’s performance: physical, emotional and mental. To satisfy the needs of your body, experts agree that you should acquire the following:

• Deep sleep; • Between 7 to 8 hours of sleep per 24-hour day; • Uninterrupted sleep.

Here are some general guidelines on developing good sleep habits:

• Develop and follow a pre-sleep routine to promote sleep at bedtime (examples are a warm shower or reading calming material).

• Make the sleep environment conducive to sleep (a comfortable bed, a dark, quiet and cool environment encourages sleep).

• Ensure that you will have no interruptions during your extended period of sleep.

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• Satisfy any other physiological needs before trying to sleep (examples are if hungry or thirsty before bed, eat or drink lightly to avoid being kept awake by digestive activity and always visit the head before trying to sleep).

• Avoid alcohol and caffeine prior to sleep (keep in mind that coffee, tea, colas, chocolate, and some medications, including cold remedies and aspirin, may contain alcohol and/or caffeine). Avoid caffeine at least six hours before bedtime.

B. Rest Issues

Another important factor that can affect fatigue and performance is rest. Rest, apart from sleep, can be provided in the form of breaks or changes in activities. Rest pauses or breaks are indispensable as a physical requirement if performance is to be maintained. Factors influencing the need for rest are the length and intensity of the activities prior to a break or a change in activity, the length of the break, or the nature or change of the new activity.


Here are some general guidelines that can help you maintain performance: • Get sufficient sleep, especially before any period when you anticipate that you will

not get adequate sleep. • When you sleep, make it a long period of sleep. • Take strategic naps. • Take breaks when scheduled breaks are assigned. • Develop and maintain good sleep habits, such as a pre-sleep routine (something

that you always do to get you ready to sleep). • Monitor your hours of work and rest when opportunity arises. • Eat regular, well-balanced meals (including fruits and vegetables, as well as meat

and starches). • Exercise regularly.

4. WHAT CAN MITIGATE THE EFFECTS OF FATIGUE? The most powerful means of relieving fatigue is to get proper sleep and to rest when appropriate. However, a number of things have been identified as potentially providing some short-term relief. Note, however, that these countermeasures may simply just mask the symptoms temporarily –the fatigue has not been eliminated.

• An interesting challenge, an exciting idea, a change in work routine or anything else that is new and different will keep you awake.

• Changing the order of activities, where personnel are assigned tasks that include variety in the nature of tasks, can be beneficial in breaking up job monotony. Mixing tasks requiring high physical or mental work with low-demand tasks can be beneficial.

• Bright lights, cool dry air, music and other irregular sounds can increase alertness. • Caffeine (encountered in coffee and tea, and to a lesser extent in colas and chocolate)

appears to help combat sleepiness in some people effectively for short periods. However, regular usage over time will reduce its value as a stimulant and may make you more tired and less able to sleep.

• Any type of muscular activity helps to keep you alert; running, walking, stretching or even chewing gum can stimulate our level of alertness.


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• Conversation can help you stay awake. • Controlled, strategic naps can improve alertness and performance (the most effective


B. Strategic Napping Research has identified “strategic napping” as a short-term relief technique to help maintain performance levels during long periods of wakefulness. This means that if you have the opportunity to nap you should take it. However, there are some drawbacks associated with napping. One potential drawback is that naps longer than 30 minutes will cause sleep inertia, where situational awareness is impaired (grogginess and/or disorientation for up to 20 minutes after waking. A second is that the nap may disrupt later sleeping periods (you may not be tired when time comes for an extended period of sleep).

5. WHAT CAN BE DONE TO REDUCE CREW FATIGUE ON BOARD TUGBOATS?

There are a number of steps that can be taken to prevent fatigue. Many of the measures that reduce fatigue are unfortunately beyond a single person’s ability to influence, such as voyage scheduling, ship design, work scheduling. Steps such as the following (where applicable) are important for the prevention of fatigue on board ship, and are within the tugboat personnel’s ability to influence and implement:

• Ensuring the compliance with maritime regulations concerning minimum hours of rest

and/or maximum hours of work • Creating an open communication environment (e.g. by making it clear to the crew

members that it is important to inform supervisors when fatigue is impairing their performance and that there will be no recriminations for such reports)

• Scheduling drills in a manner that minimizes the disturbance of rest/sleep periods • Establishing on-board management techniques when scheduling shipboard work and

rest periods, watchkeeping practices and assignment of duties in a more efficient manner

• Assigning work by mixing up tasks to break up monotony and combining work that requires high physical or mental demand with low-demand tasks (job rotation)

• Scheduling tasks with potential hazards for daytime hours, when appropriate • Emphasizing the relationship between work and rest periods to ensure that adequate

rest is received by promoting individual record keeping of hours rested or worked • Ensuring that shipboard conditions, within the crew’s ability to influence, are

maintained in a good state (such as maintaining the heating, ventilation and air-conditioning (HVAC) on schedule, replacing light bulbs, and contending with the sources of unusual noise at the first opportunity)

• Establishing shipboard practices for dealing with fatigue incidents and learning from them (as part of safety meetings)

• Increasing awareness of the long-term health benefits of appropriate lifestyle behavior (e.g. exercise, relaxation, nutrition, smoking and alcohol consumption)

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References

International Transport Workers’ Federation (1997) - Seafarer Fatigue: Wake up to the dangers. IMO, MSC 69/INF.10 - United Kingdom. McCallum, M.C., & Raby, M., Rothblum A. (1996) - Procedures for Investigating and Reporting Human Factors and Fatigue Contributions to Marine Casualties. Report No. CG-D-09-97. Batelle Seattle Research Center and U.S. Coast Guard Research and Development Center – Conneticut, United States. Moore-Ede M., Mitchell R. E., Heitmann A., Trutsche U., Aguirre A., & Hajarnavis H. (1996) - Canalert 1995: Alertness Assurance in the Canadian Railways - Circadian Technologies, Inc. – Massachussets, United States. Parker, A.W., Hubinger, L.M., Green, S., Sargent, L., & Boyd, R. (1197) - A survey of the health, stress and fatigue of Australian Seafarers - Australian Maritime Safety Authority - Australia. Pollard J.K., Sussman E.D., & Stearns M. (1990) - Shipboard Crew fatigue, Safety and Reduced Manning. Report No. DOT-MA-RD-840-90014. John A. Volpe National Transportation Systems Center - Cambridge, Massachussets. Sandquist T., Raby M., Maloney A.L., Carvalhais T. (1996) - Fatigue and Alertness in Merchant Marine Personnel: A field study of work and sleep patterns. Report No. CG-D-06-97. Batelle Seattle Research Center and U.S. Coast Guard Research and Development Center – Conneticut, United States. Transportation Safety Board of Canada (1997) - A Guide for Investigating for Fatigue - Canada. United Kingdom National Union of Marine Aviation and Shipping Transport Officers (1997) - Give us a Break: NUMAST Report on Fatigue. IMO, MSC 68/INF. 9 - United Kingdom. Videotel (1998). Fatigue and Stress at Sea [video] - London, United Kingdom.

***

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ANNEX 12

APPENDIX

Foreword

The Fatigue guidelines contain practical information to assist interested parties (naval architects/Ship designers, owners/operators, Masters, Officers, other crew members and training institutions) to better understand and manage the fatigue issue. The outline of the information is related to the potential dangers associated with fatigue and ultimately the effect on the health and safety of the personnel working on ships. The guidelines contain information on the symptoms and causes of fatigue, and addresses solutions to combat fatigue to improve the associated health problems and help prevent a fatigue related accident occurring. The guidelines have been divided into nine modules, as follow:

1. Module 1 Fatigue 2. Module 2 Fatigue and the Ratings 3. Module 3 Fatigue and the Ship’s Officers 4. Module 4 Fatigue and the Masters 5. Module 5 Fatigue and the Training Institutions and Management

Personnel in charge of Training 11. Module 6 Shipboard Fatigue and the Owners/Operators/Managers 12. Module 7 Shipboard Fatigue and the Naval Architects 13. Module 8 Fatigue and the Maritime Pilot 14. Module 9 Fatigue and Tugboat Personnel 15. Appendix Fatigue related documentation

It is recommended that all parties become familiar with Module 1, which contains general information on the subject of fatigue, prior to using the rest of the Modules. The Appendix contains reference material on the subject of fatigue, such as extracts from IMO and ILO instruments, list of references.


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APPENDICES APPENDIX 1 References

APPENDIX 2 Model format for table of Shipboard Working Arrangements

APPENDIX 3 Model format for Records of Hours of Work or Hours of Rest of Seafarers

APPENDIX 4 ILO Convention No. 180 - The Seafarer’s Hours of Work and the Manning of Ships Convention, 1996

APPENDIX 5 Relevant requirements of the International Safety Management Code (ISM Code)

APPENDIX 6 Relevant requirements of the International Convention on Standards of Training, Certification and Watchkeeping for Seafarers, 1978, as amended in 1995, and the STCW Code

APPENDIX 7 IMO Resolution A.772(18) – Fatigue Factors in Manning and Safety (Annex)

APPENDIX 8 Pertinent IMO Instruments relating to Fatigue

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APPENDIX 1

REFERENCES


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APPENDIX 1

REFERENCES

Module 1 Calhoun S.R. (1999) – Human Factors and Ship Design: Preventing and Reducing Shipboard Operator Fatigue. University of Michigan/U.S. Coast Guard Research Project – Michigan, United States. Kroemer K.H.E., Gradjean E. (1999) – Fitting the task to the Human (Fifth Edition). Taylor and Francis, Ltd. – United Kingdom. Sandquist T., Raby M., Maloney A.L., Carvalhais T. (1996) - Fatigue and Alertness in Merchant Marine Personnel: A field study of work and sleep patterns. Report No. CG-D-06-97. Batelle Seattle Research Center and U.S. Coast Guard Research and Development Center – Conneticut, United States. Transportation Safety Board of Canada (1997) - A Guide for Investigating for Fatigue - Canada.

Modules 2, 3 & 4 International Transport Workers’ Federation (1997) - Seafarer Fatigue: Wake up to the dangers. IMO, MSC 69/INF.10 - United Kingdom. Kroemer, K.H.E., & Grandjean, E. (Re-printed 1999) – Fitting the Task to the Human. Taylor & Francis Ltd. – London, United Kingdom. McCallum, M.C., & Raby, M., Rothblum A. (1996) - Procedures for Investigating and Reporting Human Factors and Fatigue Contributions to Marine Casualties. Report No. CG-D-09-97. Batelle Seattle Research Center and U.S. Coast Guard Research and Development Center – Conneticut, United States. Moore-Ede M., Mitchell R. E., Heitmann A., Trutsche U., Aguirre A., & Hajarnavis H. (1996) - Canalert 1995: Alertness Assurance in the Canadian Railways - Circadian Technologies, Inc. - Massachussets, United States. Parker, A.W., Hubinger, L.M., Green, S., Sargent, L., & Boyd, R. (1197) - A survey of the health, stress and fatigue of Australian Seafarers - Australian Maritime Safety Authority - Australia. Pollard J.K., Sussman E.D., & Stearns M. (1990) - Shipboard Crew fatigue, Safety and Reduced Manning. Report No. DOT-MA-RD-840-90014. John A. Volpe National Transportation Systems Center – Massachussets, United States.

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Sandquist T., Raby M., Maloney A.L., Carvalhais T. (1996) - Fatigue and Alertness in Merchant Marine Personnel: A field study of work and sleep patterns. Report No. CG-D-06-97. Batelle Seattle Research Center and U.S. Coast Guard Research and Development Center – Conneticut, United States. Transportation Safety Board of Canada (1997) - A Guide for Investigating for Fatigue - Canada. United Kingdom National Union of Marine Aviation and Shipping Transport Officers (1997) - Give us a Break: NUMAST Report on Fatigue. IMO, MSC 68/INF. 9 - United Kingdom. Videotel (1998). Fatigue and Stress at Sea [video] - London, United Kingdom.

Module 5 IMO – Training Course for Instructors. McCallum, M.C., & Raby, M., Rothblum A. (1996) - Procedures for Investigating and Reporting Human Factors and Fatigue Contributions to Marine Casualties. Report No. CG-D-09-97. Batelle Seattle Research Center and U.S. Coast Guard Research and Development Center - Groton, Conneticut. Parker, A.W., Hubinger, L.M., Green, S., Sargent, L., & Boyd, R. (1197) - A survey of the health, stress and fatigue of Australian Seafarers - Australian Maritime Safety Authority - Australia. Transportation Safety Board of Canada (1997) - A Guide for Investigating for Fatigue - Canada. Videotel (1998). Fatigue and Stress at Sea [video]. London.

Module 6 Belenky G, Balkin T.J, Redmond D.P, Sing H.P, Thomas M.L, Thorne D.R and Wesensten N.J (1998) – Sustaining Performance during Continuos Operations: The US army’s Sleep Management System - taken from The 3rd International Conference on fatigue and Transportation 1998, Fremantle, WA. Dawson D, Lamond N, Donkin K and Reid K (1997) – Quantitative Similarity between the Cognitive Psychomotor Performance Decrement Associated with Sustained Wakefulness and Alcohol Intoxication – From the minutes of the AAPMA 36th Biennial Conference 1998. Dawson D, Fletcher A and Hussey F (1999) – Fatigue and Transport, Report to the Neville Committee – The Centre for sleep Research, University of South Australia.


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Folkard S and Barton J (1993) – Does the ‘Forbidden Zone’ for sleep onset influence morning shift sleep duration? – Ergonomics. 36(1-3): 85-91 McCallum M.C, Raby M and Rothblum A.M (1996) – Procedures for Investigating and Reporting Human Factors and Fatigue Contributions to Marine Casualties. Report No CG-D-09-97. National Technical Information Service, Springfield, Virginia. Reid T, Roberts T and Dawson D (1997) – Improving Shiftwork management II: Shiftwork and Health – Occupation Health and Safety (Aust/NZ), 13(5): 439-450 Module 7 Donaldson, Lord (1994) - Safer ships, cleaner seas. Report of Lord Donaldson’s inquiry into the prevention of pollution from merchant shipping - HMSO, London. IMO, MSC 68/INF.15 - Human Errors on the Bridge - A study of Finnish Shipping. IMO, MSC 69/INF.10 - Seafarer fatigue: Wake up to the dangers. IMO, MSC 69/INF.15 - Fatigue - Groundings and collisions. IMO, MSC 69/INF.16 - Report on the investigation into near misses. IMO, MSC 71/INF.8 - Report on the investigation into near misses. IMO, MSC/Circ.565 - Fatigue as a Contributory Factor in Maritime Accidents. IMO, MSC/Circ.621 - Guidelines for the investigation of accidents where fatigue may have been a contributory factor. Parker A.W., Hubiner L.M., Green S., Sargent L. and R. Boyd (1997) - A survey of the health, stress and fatigue of Australian seafarers - Conducted on behalf of the Australian Maritime Safety Authority. Sanquist T.F., Ravy M., Maloney A.L. and A.B. Carvalhais (1996) - Fatigue and Alertness in Merchant Marine Personnel: A Field Study of Work and Sleep Patterns. Report No. CG-D-06-97. Batelle Seattle Research Center and U.S. Coast Guard Research and Development Center, Groton, Conneticut. Module 8 Akerstendt T. (2000) – Safety and Fatigue – Australia. AMPA (2000) - Fatigue Management Standard. Australian Marine Pilot’s Association AMSA (1999) - On Tour Analyses of the Work and Rest Patterns of Great Barrier Reef Pilots: Implications for Fatigue Management. Queensland University of Technology for Australian Maritime Safety Authority

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Berger, Y (1984) - Port Phillip Sea Pilots: an Occupation at Risk. PhD Thesis; Latrobe University.

Cantwell V. (1998) – Human Factors in Marine Operations: Managing Fatigue, Alertness and Endurance in the Marine Pilot Operations - Maryland. European Maritime Pilot Association (EMPA) - Recommendation 26, Fatigue Prevention. Fletcher A. and Dawson D. (1997) - A predictive model of work-related fatigue based on hours-of-work. Australian Journal of Occupational Health and Safety 13(5) 471-486

Transportation Safety Board of Canada (1997) – A Guide for Investigating for Fatigue – Canada. Module 9 International Transport Workers’ Federation (1997) - Seafarer Fatigue: Wake up to the dangers. IMO, MSC 69/INF.10 - United Kingdom. McCallum, M.C., & Raby, M., Rothblum A. (1996) - Procedures for Investigating and Reporting Human Factors and Fatigue Contributions to Marine Casualties. Report No. CG-D-09-97. Batelle Seattle Research Center and U.S. Coast Guard Research and Development Center – Conneticut, United States. Moore-Ede M., Mitchell R. E., Heitmann A., Trutsche U., Aguirre A., & Hajarnavis H. (1996) - Canalert 1995: Alertness Assurance in the Canadian Railways - Circadian Technologies, Inc. – Massachussets, United States. Parker, A.W., Hubinger, L.M., Green, S., Sargent, L., & Boyd, R. (1197) - A survey of the health, stress and fatigue of Australian Seafarers - Australian Maritime Safety Authority - Australia. Pollard J.K., Sussman E.D., & Stearns M. (1990) - Shipboard Crew fatigue, Safety and Reduced Manning. Report No. DOT-MA-RD-840-90014. John A. Volpe National Transportation Systems Center - Cambridge, Massachussets. Sandquist T., Raby M., Maloney A.L., Carvalhais T. (1996) - Fatigue and Alertness in Merchant Marine Personnel: A field study of work and sleep patterns. Report No. CG-D-06-97. Batelle Seattle Research Center and U.S. Coast Guard Research and Development Center – Conneticut, United States. Transportation Safety Board of Canada (1997) - A Guide for Investigating for Fatigue - Canada. United Kingdom National Union of Marine Aviation and Shipping Transport Officers (1997) - Give us a Break: NUMAST Report on Fatigue. IMO, MSC 68/INF. 9 - United Kingdom. Videotel (1998). Fatigue and Stress at Sea [video] - London, United Kingdom.


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APPENDIX 2

MODEL FORMAT FOR TABLE OF SHIPBOARD WORKING ARRANGEMENTS1

1 International Maritime Organization (IMO) & International Labour Office (ILO) (1999)- IMO/ILO

Guidelines for the Development of Tables of Seafarers’ Shipboard Working Arrangements and Formats of Records of Seafarers’ Hours of Work or Hours of Rest. IMO – London, United Kingdom

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Model format for table of shipboard working arrangements1 Name of ship: Flag of ship: IMO number (if any): Latest update of table: ( ) of ( ) pages

The maximum hours of work or minimum hours of rest are applicable in accordance with : (national law or regulation) issued in conformity with ILO's Seafarers' Hours

of Work and the Manning of Ships Convention 1996 (No. 180) and with any applicable collective agreement registered or authorized in accordance with that Convention and with the International Convention on Standards of Training, Certification and Watchkeeping for Seafarers, 1978, as amended, (STCW Convention).2 Maximum hours of work or minimum hours of rest3: ______________________________________________________________________________________ Other requirements: ___________________________________________________________________________________________

Position/Rank4

Scheduled daily work hours at sea

Scheduled daily work hours in port

Comments

Total daily work/rest3 hours

Watchkeeping (from - to)

Non-watchkeeping duties (from - to)5

Watchkeeping (from - to)

Non-watchkeeping duties (from - to)5

At sea

In port

Signature of Master ______________________________________

1

The terms used in this model table are to appear in the working language or languages of the ship and in English. 2

See overleaf for selected extracts from ILO Convention 180 and the STCW Convention. 3

Delete as applicable. 4

For those positions/ranks that are also listed in the ship's safe manning document, the terminology used should be the same as in that document. 5 For watchkeeping personnel, the comments section may be used to indicate the anticipated number of hours to be devoted to unscheduled work and any such hours should be included in the

appropriate total daily work hours column.


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Selected texts from ILO Convention 180 and the STCW Convention ILO Convention 180 Art.5 paragraph 1. The limits on hours of work or rest shall be as follows: (a) maximum hours of work shall not exceed: (i) 14 hours in any 24-hour period; and (ii) 72 hours in any seven-day period; or (b) minimum

hours of rest shall not be less than: (i) ten hours in any 24-hour period; and (ii) 77 hours in any seven-day period.

Art. 5 paragraph 2. Hours of rest may be divided into no more than two periods, one of which shall be at least six hours in length, and the interval between consecutive periods of rest shall not exceed 14 hours.

Art. 5 paragraph 6. Nothing in paragraphs 1 and 2 shall prevent the Member from having national laws or regulations or a procedure for the competent authority to authorize or register collective agreements permitting exceptions to the limits set out. Such exceptions shall, as far as possible, follow the standards set out but may take account of more frequent or longer leave periods or the granting of compensatory leave for watchkeeping seafarers or seafarers working on board ships on short voyages.

Art. 7 paragraph 1 Nothing in this Convention shall be deemed to impair the right of the master of a ship to require a seafarer to perform any hours of work necessary for the immediate safety of the ship, persons on

board or cargo, or for the purpose of giving assistance to other ships or persons in distress at sea.

Art.7 paragraph 3 As soon as practicable after the normal situation has been restored, the master shall ensure that any seafarers who have performed work in a scheduled rest period are provided with an adequate period of rest.

STCW Convention Section A-VIII/1 of the STCW Code (Mandatory) 1. All persons who are assigned duty as officer in charge of a watch or as a rating forming part of a watch shall be provided a minimum of 10 hours rest in any 24-hour period. 2. The hours of rest may be divided into no more than two periods, one of which shall be at least 6 hours in length. 3. The requirements for rest periods laid down in paragraph 1 and 2 need not be maintained in the case of an emergency or drill or in other overriding operational conditions. 4. Notwithstanding the provisions of paragraphs 1 and 2, the minimum period of ten hours may be reduced to not less than 6 consecutive hours provided that any such reduction shall not extend beyond two days

and not less than 70 hours of rest are provided each seven day period. 5. Administrations shall require that watch schedules be posted where they are easily accessible.

Section B-VIII/1 of the STCW Code (Guidance) 3. In applying regulation VIII/1, the following should be taken into account:

.1 provisions made to prevent fatigue should ensure that excessive or unreasonable overall working hours are not undertaken. In particular, the minimum rest periods specified in Section A-VIII/1 should not be interpreted as implying that all other hours may be devoted to watchkeeping or other duties;

.2 that the frequency and length of leave periods, and the granting of compensatory leave, are material factors in preventing fatigue from building up over a period of time;

.3 the provisions may be varied for ships on short-sea voyages, provided special safety arrangements are put in place.

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APPENDIX 3

MODEL FORMAT FOR RECORDS OF HOURS OF WORK OR HOURS OF REST OF SEAFARERS1

1 International Maritime Organization (IMO) & International Labour Office (ILO) (1999)- IMO/ILO Guidelines for the Development of Tables of Seafarers’ Shipboard Working Arrangements and Formats of Records of Seafarers’ Hours of Work or Hours of Rest. IMO – London, United Kingdom


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APPENDIX 4

SEAFARERS' HOURS OF WORK AND THE MANNING OF SHIPS CONVENTION, 1996 (NO. 180)

PART I. SCOPE AND DEFINITIONS Article 1 1. This Convention applies to every seagoing ship, whether publicly or privately owned, which is registered in the territory of any Member for which the Convention is in force and is ordinarily engaged in commercial maritime operations. For the purpose of this Convention, a ship that is on the register of two Members is deemed to be registered in the territory of the Member whose flag it flies. 2. To the extent it deems practicable, after consulting the representative organizations of fishing-vessel owners and fishermen, the competent authority shall apply the provisions of this Convention to commercial maritime fishing. 3. In the event of doubt as to whether or not any ships are to be regarded as seagoing ships or engaged in commercial maritime operations or commercial maritime fishing for the purpose of the Convention, the question shall be determined by the competent authority after consulting the organizations of shipowners, seafarers and fishermen concerned. 4. This Convention does not apply to wooden vessels of traditional build such as dhows and junks. Article 2

For the purpose of this Convention:

(a) the term “competent authority” means the minister, government department or other authority having power to issue regulations, orders or other instructions having the force of law in respect of seafarers' hours of work or rest or the manning of ships;

(b) the term “hours of work” means time during which a seafarer is required to do

work on account of the ship;

(c) the term “hours of rest” means time outside hours of work; this term does not include short breaks;

(d) the term “seafarer” means any person defined as such by national laws or

regulations or collective agreements who is employed or engaged in any capacity on board a seagoing ship to which this Convention applies;

(e) the term “shipowner” means the owner of the ship or any other organization or

person, such as the manager or bareboat charterer, who has assumed the responsibility for the operation of the ship from the shipowner and who on

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assuming such responsibility has agreed to take over all the attendant duties and responsibilities.

PART II. SEAFARERS' HOURS OF WORK AND HOURS OF REST Article 3

Within the limits set out in Article 5, there shall be fixed either a maximum number of hours of work which shall not be exceeded in a given period of time, or a minimum number of hours of rest which shall be provided in a given period of time. Article 4

A Member which ratifies this Convention acknowledges that the normal working hours' standard for seafarers, like that for other workers, shall be based on an eight-hour day with one day of rest per week and rest on public holidays. However, this shall not prevent the Member from having procedures to authorize or register a collective agreement which determines seafarers' normal working hours on a basis no less favourable than this standard. Article 5 1. The limits on hours of work or rest shall be as follows:

(a) maximum hours of work shall not exceed:

(i) 14 hours in any 24-hour period; and

(ii) 72 hours in any seven-day period; or

(b) minimum hours of rest shall not be less than:

(i) ten hours in any 24-hour period; and

(ii) 77 hours in any seven-day period.

2. Hours of rest may be divided into no more than two periods, one of which shall be at least six hours in length, and the interval between consecutive periods of rest shall not exceed 14 hours. 3. Musters, fire-fighting and lifeboat drills, and drills prescribed by national laws and regulations and by international instruments shall be conducted in a manner that minimizes the disturbance of rest periods and does not induce fatigue. 4. In respect of situations when a seafarer is on call, such as when a machinery space is unattended, the seafarer shall have an adequate compensatory rest period if the normal period of rest is disturbed by call-outs to work. 5. If no collective agreement or arbitration award exists or if the competent authority determines that the provisions in the agreement or award in respect of paragraph 3 or 4 are


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inadequate, the competent authority shall determine such provisions to ensure the seafarers concerned have sufficient rest. 6. Nothing in paragraphs 1 and 2 shall prevent the Member from having national laws or regulations or a procedure for the competent authority to authorize or register collective agreements permitting exceptions to the limits set out. Such exceptions shall, as far as possible, follow the standards set out but may take account of more frequent or longer leave periods or the granting of compensatory leave for watchkeeping seafarers or seafarers working on board ships on short voyages. 7. The Member shall require the posting, in an easily accessible place, of a table with the shipboard working arrangements, which shall contain for every position at least:

(a) the schedule of service at sea and service in port; and

(b) the maximum hours of work or the minimum hours of rest required by the laws, regulations or collective agreements in force in the flag State.

8. The table referred to in paragraph 7 shall be established in a standardized format in the working language or languages of the ship and in English. Article 6

No seafarer under 18 years of age shall work at night. For the purpose of this Article, “night” means a period of at least nine consecutive hours, including the interval from midnight to five a.m. This provision need not be applied when the effective training of young seafarers between the ages of 16 and 18 in accordance with established programmes and schedules would be impaired. Article 7 1. Nothing in this Convention shall be deemed to impair the right of the master of a ship to require a seafarer to perform any hours of work necessary for the immediate safety of the ship, persons on board or cargo, or for the purpose of giving assistance to other ships or persons in distress at sea. 2. In accordance with paragraph 1, the master may suspend the schedule of hours of work or hours of rest and require a seafarer to perform any hours of work necessary until the normal situation has been restored. 3. As soon as practicable after the normal situation has been restored, the master shall ensure that any seafarers who have performed work in a scheduled rest period are provided with an adequate period of rest. Article 8 1. The Member shall require that records of seafarers' daily hours of work or of their daily hours of rest be maintained to allow monitoring of compliance with the provisions set out in Article 5. The seafarer shall receive a copy of the records pertaining to him or her which shall be endorsed by the master, or a person authorized by the master, and by the seafarer.

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2. The competent authority shall determine the procedures for keeping such records on board, including the intervals at which the information shall be recorded. The competent authority shall establish the format of the records of the seafarers' hours of work or of their hours of rest taking into account any available International Labour Organization guidelines or shall use any standard format prepared by the Organization. The format shall be established in the language or languages provided by Article 5, paragraph 8. 3. A copy of the relevant provisions of the national legislation pertaining to this Convention and the relevant collective agreements shall be kept on board and be easily accessible to the crew. Article 9

The competent authority shall examine and endorse the records referred to in Article 8, at appropriate intervals, to monitor compliance with the provisions governing hours of work or hours of rest that give effect to this Convention. Article 10

If the records or other evidence indicate infringement of provisions governing hours of work or hours of rest, the competent authority shall require that measures, including if necessary the revision of the manning of the ship, are taken so as to avoid future infringements. PART III. MANNING OF SHIPS Article 11 1. Every ship to which this Convention applies shall be sufficiently, safely and efficiently manned, in accordance with the minimum safe manning document or an equivalent issued by the competent authority. 2. When determining, approving or revising manning levels, the competent authority shall take into account:

(a) the need to avoid or minimize, as far as practicable, excessive hours of work, to ensure sufficient rest and to limit fatigue; and

(b) the international instruments identified in the Preamble.

Article 12

No person under 16 years of age shall work on a ship.

PART IV. RESPONSIBILITIES OF SHIPOWNERS AND MASTERS Article 13

The shipowner shall ensure that the master is provided with the necessary resources for the purpose of compliance with obligations under this Convention, including those relating to the appropriate manning of the ship. The master shall take all necessary steps to ensure that the


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requirements on seafarers' hours of work and rest arising from this Convention are complied with. PART V. APPLICATION Article 14

A Member which ratifies this Convention shall be responsible for the application of its provisions by means of laws or regulations, except where effect is given by collective agreements, arbitration awards or court decisions. Article 15

The Member shall:

(a) take all necessary measures, including the provision of appropriate sanctions and corrective measures, to ensure the effective enforcement of the provisions of this Convention;

(b) have appropriate inspection services to supervise the application of the measures

taken in pursuance of this Convention and provide them with the necessary resources for this purpose; and

(c) after consulting shipowners' and seafarers' organizations, have procedures to

investigate complaints relating to any matter contained in this Convention.

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APPENDIX 5

RELEVANT REQUIREMENTS OF THE INTERNATIONAL SAFETY MANAGEMENT CODE

(ISM CODE)

6. Resources and Personnel 6.1 The Company should ensure that the master is:

1. properly qualified for command;

2. fully conversant with the Company’s SMS; and 3. given the necessary support so that the master’s duties can be safely performed.

6.2 The Company should ensure that each ship is manned with qualified, certificated and

medically fit seafarers in accordance with national and international requirements. 6.3 The Company should establish procedures to ensure that new personnel and personnel

transferred to new assignments related to safety and protection of the environment are given proper familiarisation with their duties. Instructions which are essential to be provided prior to sailing should be identified, documented and given.

6.4 The Company should ensure that all personnel involved in the Company’s SMS have an

adequate understanding of relevant rules, regulations, codes and guidelines. 6.5 The Company should establish and maintain procedures for identifying any training which

may be required in support of the SMS and ensure that such training is provided for all personnel concerned.

6.6 The Company should establish procedures by which the ship’s personnel receive relevant

information on the SMS in a working language or languages understood by them. 6.7 The Company should ensure that the ship’s personnel are able to communicate effectively in

the execution of their duties related to the SMS.


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APPENDIX 6

RELEVANT REQUIREMENTS OF THE INTERNATIONAL CONVENTION ON STANDARDS OF TRAINING, CERTIFICATION AND WATCHKEEPING

FOR SEAFARERS, 1978, AS AMENDED IN 1995, AND ITS CODE

Regulation VIII/1 Fitness for duty

Each Administration shall, for the purpose of preventing fatigue: 1. establish and enforce rest periods for watchkeeping personnel; and 2. require that watch systems are so arranged that the efficiency of all watchkeeping

personnel is not impaired by fatigue and that duties are so organized that the first watch at the commencement of a voyage and subsequent relieving watches are sufficiently rested and otherwise fit for duty.

Section A-VIII/1 Fitness for duty

1. All persons who are assigned duty as officer in charge of a watch or as a rating forming part of a watch shall be provided a minimum of 10 hours rest in any 24-hour period. 2. The hours of rest may be divided into no more than two periods, one of which shall be at least 6 hours in length. 3. The requirements for rest periods laid down in paragraph 1 and 2 need not be maintained in the case of an emergency or drill or in other overriding operational conditions. 4. Notwithstanding the provisions of paragraphs 1 and 2, the minimum period of ten hours may be reduced to not less than 6 consecutive hours provided that any such reduction shall not extend beyond two days and not less than 70 hours of rest are provided each seven day period. 5. Administrations shall require that watch schedules be posted where they are easily accessible.

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Section B-VIII/1

Guidance regarding fitness for duty

Prevention of fatigue 1 In observing the rest period requirements, "overriding operational conditions" should be construed to mean only essential shipboard work which cannot be delayed for safety or environmental reasons or which could not reasonably have been anticipated at the commencement of the voyage. 2 Although there is no universally accepted technical definition of fatigue, everyone involved in ship operations should be alert to the factors which can contribute to fatigue, including, but not limited to those identified by the Organization,1 and take them into account when making decisions on ship operations. 3 In applying regulation VIII/1, the following should be taken into account:

.1 provisions made to prevent fatigue should ensure that excessive or unreasonable overall working hours are not undertaken. In particular, the minimum rest periods specified in Section A-VIII/1 should not be interpreted as implying that all other hours may be devoted to watchkeeping or other duties;

.2 that the frequency and length of leave periods, and the granting of compensatory

leave, are material factors in preventing fatigue from building up over a period of time;

.3 the provisions may be varied for ships on short-sea voyages, provided special

safety arrangements are put in place; and 4 Administrations should consider the introduction of a requirement that records of hours of work or rest of seafarers should be maintained and that such records are inspected by the Administration at appropriate intervals to ensure compliance with regulations concerning working hours or rest periods. 5 Based on information received as a result of investigating maritime casualties, Administrations should keep their provisions on prevention of fatigue under review.

1See IMO resolution A.722(18), paragraphs 2 to 4.4.1.


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APPENDIX 7

RESOLUTION A.772(18) adopted on 4 November 1993

ANNEX

FATIGUE FACTORS IN MANNING AND SAFETY

1 INTRODUCTION 1.1 The purpose of this document is to provide a general description of fatigue, to identify the factors of ship operations which may contribute to fatigue, and to classify those factors under broad categories to indicate the extent to which the factors may be related. 1.2 The objective is to increase awareness of the complexity of fatigue and to encourage all parties involved in ship operations to take these factors into account when making operational decisions. 2 GENERAL DESCRIPTION OF FATIGUE 2.1 Fatigue results in the degradation of human performance, the slowing down of physical and mental reflexes and/or the impairment of the ability to make rational judgements. 2.2 Fatigue may be induced by factors such as prolonged periods of mental or physical activity, inadequate rest, adverse environmental factors, physiological factors and/or stress or other psychological factors. 3 CLASSIFICATION OF FATIGUE FACTORS IN RELATED GROUPS 3.1 In the case of seafarers, among the most commonly recognized and documented causes of fatigue are poor quality of rest, excessive workload, noise and interpersonal relationships. The contributory factors that lead to the above are many and varied. The significance of these factors as contributory causes of fatigue will vary depending on operational circumstances. Some factors will be more manageable than others. Such factors can be grouped as follows: 3.1.1 Management ashore and aboard ship, and responsibilities of Administrations:

- scheduling of work and rest periods; - manning levels; - assignment of duties; - shore-ship-shore support and communication; - standardization of work procedures; - voyage planning; - watchkeeping practices; - management policy; - in-port operations; - recreational facilities; - administrative duties.

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3.1.2 Ship-specific factors:

- level of automation; - reliability of equipment; - motion characteristics; - vibration, heat and noise levels; - quality of working and living environment; - cargo characteristics/requirements; - ship design.

3.1.3 Crew-specific factors:

- thoroughness of training; - experience; - crew composition - cohesiveness; - crew competency and quality.

3.1.4 External environmental factors:

- weather; - port conditions; - ice conditions; - density of vessel traffic.

4 GENERAL DISCUSSION 4.1 Management ashore, aboard ship, and also the responsibilities of Administrations 4.1.1 The prevention of fatigue in the areas of scheduling of shipboard work and rest periods, manning levels, watchkeeping practices and assignment of duties could largely be accomplished by sensible shore-based management and on-board management techniques. It is also recognized that Administrations have an equally important role to play with respect to legislation leading to acceptance, implementation and enforcement in those areas covered by international conventions. Guidelines and provisions should take into account the relationships between work and rest periods to ensure adequate rest. These considerations should include a review of the voyage length, length of port stay, length of service of individual crew members, periods of responsibility and watchkeeping practices. 4.1.2 It is essential that management should provide clear, concise written policy guidance to ensure that ships' crews are familiar with ships' operational procedures, cargo characteristics, voyage length, destination, internal and external communication practices and ship familiarization procedures. 4.1.3 Management should recognize that crews joining a ship need to be adequately rested before assuming on-board duties. 4.2 Ship-specific factors 4.2.1 In designing or modifying ships, existing requirements, recommendations, standards and publications pertaining to the listed factors should be taken into account.


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Additionally, allowance should be made in designing ships for the adoption of ergonomic practices to prevent fatigue from these factors. 4.3 Crew-specific factors 4.3.1 Thoroughness of training is considered to be important in the prevention of fatigue. Fitness for duty, including medical fitness, proper working experience and the qualifications and quality of crew members are also considered important in this context. 4.3.2 It is important that management recognizes the potential problems stemming from the employment of multinational crews on the same vessel, a practice that might result in language barriers and in social, cultural and religious isolation, all of which may lead to safety problems. 4.3.3 Special emphasis should be placed by management on issues of interpersonal relationships, loneliness, social deprivation and increased workloads which may occur as a result of small crew complements. 4.3.4 Boredom can contribute to fatigue, and it is therefore necessary to provide seafarers with appropriate stimulation. 4.4 External environmental factors 4.4.1 In respect of the listed external environmental factors, it should also be recognized that they could contribute to fatigue.

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APPENDIX 8

PERTINENT IMO INSTRUMENTS RELATING TO FATIGUE

The following IMO instruments were reviewed with regard to their applicability to crew

fatigue:

CONVENTIONS and CODES

International Convention on Standards of Training, Certification and Watchkeeping for Seafarers, 1978, as amended in 1995 (STCW Convention) Seafarers' Training, Certification and Watchkeeping Code (STCW Code) International Code of Safety for High Speed Craft (HSC Code) The International Safety Management (ISM) Code

ASSEMBLY RESOLUTIONS A.481(XII)1 Principles of Safe Manning A.772(18) Fatigue Factors in Manning and Safety A.792(19) Safety Culture In and Around Passenger Ships A.850(20) Human Element Vision, Principles and Goals for the Organization

MARITIME SAFETY COMMITTEE (MSC) CIRCULARS MSC/Circ.493 Recommendation Related to the Fatigue Factor in Manning and Safety MSC/Circ.565 Fatigue as a Contributory Factor in Maritime Accidents MSC/Circ.566 Provisional Guidelines for Conducting Trials in which the Officer Of The

Navigational Watch Acts as the Sole Look-Out in Periods of Darkness MSC/Circ.621 Guidelines for the investigation of accidents where fatigue may have been

a contributory factor. MSC/Circ.675 Recommendations on the Safe Transport of Dangerous Cargoes and

Related Activities in Port Areas MSC/Circ.747 Ship/Port Interface

1 Amendments pending adoption by the Assembly at its 21st session.


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MSC/Circ.813 List of human element common terms MEPC/Circ.330 MSC/Circ.834 Guidelines for Engine-Room Layout, Design and Arrangement MSC/Circ.982 Guidelines on Ergonomic Criteria for Bridge Equipment and Layout.

_______

I:\MSC\72\15.DOCFor reasons of economy, this document is printed in a limited number. Delegates arekindly asked to bring their copies to meetings and not to request additional copies.


IMO

E

MARITIME SAFETY COMMITTEE72nd sessionAgenda item 15

MSC 72/1514 February 2000

Original: ENGLISH

ROLE OF THE HUMAN ELEMENT

Report of the Correspondence Group on Fatigue

Submitted by the United States

SUMMARY

Executive summary: This document provides a report of the Correspondence Group onFatigue established at MSC 71.

Action to be taken: Paragraph 21

Related documents: MSC 71/23

Terms of Reference

1 The Maritime Safety Committee at its seventy-first session tasked the CorrespondenceGroup to report to the seventy-second session of the Committee on issues relating to fatigue. TheUnited States, as coordinator of the Correspondence Group, requested comments in accordancewith the following terms of reference and tasking (as contained in MSC 71/23, paragraph 13.3):

.1 to develop a document to give practical guidance to all parties who may affect thefatigue issue and enforce the implementation of relevant instruments, taking intoconsideration:

.1 existing regulations, i.e. STCW Convention, concerning the minimum restperiods, ILO 180 providing requirements for maximum work or minimumrest hours, included in the Guidelines for the Development of Tables ofSeafarer’s Shipboard Working Arrangements and Formats of Records ofRecords for Seafarer’s Hours of Work and Hours of Rest, and in the draftrevised Assembly resolution on Principles of safe manning;

.2 results of investigations presented to the Organization, including documentMSC 69/INF.10 (ICFTU), a Guide of Investigating for Fatigue by Canada,document MSC 68/INF.9, (ICFTU) (NUMAST report on fatigue);

.3 any relevant national work/rest rule requirements;

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2

.4 the HEAP flowchart;

.5 the guidance material given in the appendix to annex 1 to documentMSC 71/WP.15 prepared by the Joint MSC/MEPC Working Group on theHuman Element and Formal Safety Assessment.

.2 to report to the seventy-second session of the Committee.

Conduct of Correspondence Group

2 Members of the Correspondence Group included seventeen (17) Administrations:Australia, Canada, China, Finland, France, Germany, Italy, Japan, Korea, Marshall Islands,Netherlands, New Zealand, Norway, Poland, South Africa, United Kingdom, United States; andsix (6) Non-governmental Organizations: International Association of Classification Societies(IACS), International Council of Cruise Lines (ICCL), International Maritime Pilots’ Association(IMPA), International Federation of Shipmasters’ Associations (IFSMA), International ShippingFederation (ISF), and the International Confederation of Free Trade Unions (ICFTU).

3 The Correspondence Group members agreed on the development of one set of Guidelinescomposed of eight modules: six of the modules devoted to the interested parties and two devotedto general information. The Modules are as follow:

.1 Module 1 Contains general information on the subject of fatigue

.2 Module 2 Contains practical information for Seafarers, Ship’s Officers andMasters

.3 Module 3 Contains practical information for Ship’s Officers

.4 Module 4 Contains practical information for Masters

.5 Module 5 Contains practical information intended for training institutionsand Management Personnel in charge of Training

.6 Module 6 Contains practical information for Shipowners/Operators/Managers

.7 Module 7 Contains practical information for Naval Architects/ShipDesigners

.8 Module 8 Will contain fatigue-related information to provide readyreference to the interested parties

4 The philosophy behind the Modules was not to develop new information but rather toassemble what already exists, in a useful format, for transmission to those parties who have adirect impact on vessel safety. The format is for stand-alone Modules each serving its intendedaudience, with the exceptions of the two Modules providing general information.

5 Volunteers from within the Correspondence Group produced the first drafts with the aimof selecting, distilling and consolidating the existing, pertinent, reliable information. TheModules are based on information contained in the sources given in the terms of reference aswell as other sources in the public domain. Annexes 1 to 8 contain the preliminary draftModules.

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3

6 The preliminary draft Modules went through a series of iterations allowing the membersto comment on the content of the Modules. The preliminary draft Modules reflect thosecomments and changes made by the Correspondence Group members. However, there are stillissues that require further discussion as well as some outstanding suggestions that remain to beaddressed.

General Discussion

7 A number of Correspondence Group members recommended that the Modules should beextended to cover other maritime personnel who have direct impact on vessel safety. Among thegroups mentioned were maritime pilots, VTS personnel, tugboat personnel, class societies, portState control inspectors and regulators. The members agreed not to take action on this issue atthis time, but to discuss it further.

8 Members of the Correspondence Group expressed their concerns regarding theconsiderable amount of duplication of information between the Modules. The majority of themembers agreed that the duplication is justifiable, since there are differences between theintended audiences.

9 Several Correspondence Group Members indicated that the current format and languageused in the Modules could be improved in order to ensure more user friendly documents. Themajority of the Group concurred with this view, and agreed to revisit it once agreement had beenreached on the content of the Modules.

10 A member of the Correspondence Group suggested that consideration be given to whetheror not these Modules will be available in a variety of different languages (as opposed to onlyEnglish). If not available, simple, plain English will be most effective since not all officers andratings have English as a first language.

11 One member of the Group suggested that care should be taken when making references tonon-IMO materials, to ensure they are relevant, available, up-to-date, and based on solidevidence that they contribute to a reduction of fatigue.

Module 1

12 Module 1 contains general information on the subject of fatigue. The informationprovides the audience with a better understanding on the subject of fatigue, its connection withlife and work on a seagoing ship, and the dangers that derive from it. Module 1 will serve as theintroduction for the rest of the Modules.

Modules 2 to 4

13 Modules 2 to 4 contain practical information intended for Seafarers, Ship’s Officers andMasters respectively, working on board vessels.

14 Two members of the Correspondence Group, however, were of the view that theobjective would be best served with one set of guidelines for all seafarers (seafarers, Officers andMaster). One member pointed out that although the Correspondence Group Members at their lastmeeting during MSC 71 approved the concept of different Modules, this issue may requirere-evaluation.

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4

15 One member of the Correspondence Group questioned the inclusion of the materialincluded in the Appendices to Module 4 (Fatigue and the Master). Based on experiencereproducing publications, the member felt that inclusion of so much detail is unlikely to be readand, more importantly, is likely to detract from the effectiveness of the material. The membersagreed that this issue requires further discussion.

16 One member of the Correspondence Group objected to the inclusion of verbatim accountsof incidents involving hours of work, currently listed as examples, which are no longer possibleunder the new IMO/ILO limits. This matter would be further discussed within theCorrespondence Group if the Committee agrees that the Group should continue its work.

17 Several Correspondence Group members indicated that fatigue prevention should beemphasized in the context of the Safety Management System (SMS). One member considered itaxiomatic that the SMS covers fatigue and that countermeasures listed are developed,implemented, reviewed and improved within the framework of the system.

18 Several Correspondence Group Members considered that some of the informationincluded as factors that can mitigate fatigue, (cool dry air, music, well-balanced meals, caffeinecontained in different foods) is subject to different opinions. Members agreed to defer the issueto the fatigue experts in the group and to revisit the issue if the Committee agrees on continuingthe Correspondence Group on Fatigue.

Module 5

19 One member of the Correspondence Group recommended that Module 5 should beexpanded to include representative case studies or scenarios to aid in focusing training programson actual shipboard conditions and situations rather than abstract concepts.

Module 7

20 Some members of the Correspondence Group were of the opinion that some referencesidentified in the draft, including those pertaining to one man bridge operated (OMBO) ships, arenot clearly relevant to the aim of reducing seafarer fatigue, and it would therefore not beappropriate to endorse them through this new set of IMO guidelines.

Action requested of the Committee

21 The Maritime Safety Committee, at its seventy second session, is invited to:

.1 submit this report to the Joint MSC/MEPC Working Group on the HumanElement and Formal Safety Assessment for further consideration; and

.2 agree that the Correspondence Group on Fatigue should continue its work todevelop the Modules further.

***

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ANNEX 1

Module 1

FATIGUE

• What Is Fatigue?

Fatigue is physical or mental exhaustion due to a number of factors, primarily lack of sleepbut also exertion, stress, etc. When fatigue sets in, people’s performance falls dramaticallyand they may even lose control of bodily functions. Onboard ship fatigue can haveparticularly disastrous consequences.

This module focuses on how fatigue affects crew performance. It will examine those factorswhich cause fatigue; for example: lack of sleep, extended rotas, living and working on amoving vessel (motion-induced fatigue), and the factors which interact with, and exacerbatefatigue, for example: working at night, and minor illnesses. The key issue addressed withinthis module is that fatigue can detrimentally affect performance at work.

• Early Research On Fatigue And Performance

A considerable amount of research has been done on fatigue because it is such a dangerousproblem. One notable research program investigated ways in which increasing fatigueaffected people’s ability to complete complex tasks. These studies led to a focus on fatigueand momentary lapses of attention, forgetting of priorities, increased risk of poor decisionsand slow responses, lowered standards, and reduced effort. Results showed that:

1. Fatigue increases the chances of having to repeat actions to perform a task successfully.2. Right actions might be done at the wrong time.3. Right actions might be left out completely.4. A person’s ability to select appropriate information will be distorted because other factors

(such as hunger or comfort) can more easily divert a person’s attention.

• Fatigue And Sustained Attention

Fatigue has a proven detrimental effect on alertness. This can be readily seen when a person isrequired to maintain a period of concentrated and sustained attention, looking out for theunexpected (for example: night watch).

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Unless steps are taken to alleviate the fatigue, it will remain long after the period of sustainedattention. This can pose a hazard to ship safety because it is known that someone who is chronicallyfatigued will often prefer a strategy that requires less effort but has a high chance of success, evenwhen it is not the safest choice.

When people are exhausted, they have problems remembering simple facts (working memory)and therefore have to try to find the information by asking other people or searching throughdocumented material. This reduces effectiveness and efficiency as it takes extra time;decreases productivity; lowers standards of work and may lead to errors being made.

Fatigue is insidious in that people are poor judges of their level of fatigue. Fatigued individualsbecome more susceptible to errors of attention and memory (for example, it is not uncommon forfatigued individuals to omit steps in a sequence). Fatigue can affect an individual's ability torespond to stimuli and it can take longer to perceive stimuli, longer to interpret or understandthem and longer to react to them once they have been identified. Fatigue also affects problemsolving, which is an integral part of handling new or novel tasks.

Often, people do not notice how fatigued they are until they are called upon to do tasks thatare new to them. This is particularly the case for shift workers and people working longhours.

The next section considers fatigue caused by prolonged work periods. The effects are similarto those seen when a person does not have enough sleep or has to work when distracted (twoexamples: working at night or with a minor illness).

• Lack Of Sleep And Performance

There are two reasons why lack of sleep is relevant to fatigue at sea:1. Motion may impair sleep.2. Countering the effects of motion is physically demanding. Prolonged periods of working

on a moving vessel are very tiring. This is made much worse when crew cannot getadequate sleep and rest.

The main effects of lack of sleep on performance include the following:

1. A person is not in the best state to identify, or act upon information. Attention will wander,reducing the ability to think clearly. Responses may be slow or inappropriate.

2. Other factors which decrease alertness (for example, long and boring tasks or working atnight) are likely to increase the effects of sleep loss.

3. When an individual is awoken from a deep sleep, performance may be sluggish from tenminutes up to an hour (known as sleep inertia).

4. Initial loss of sleep may lead to the use of sleeping pills. These can have negative effectson performance the next day.

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• Time Of Day And Performance

A person’s ability to perform varies according to the time of day. A general profile of changesis summarised:

1. Tasks that depend on vision are performed quicker but less accurately later in the day.Tasks are harder at night.

2. Tasks involving immediate memory (recall of very recent information) are performed bestin the early morning. Tasks involving working memory (remembrance of earlierinformation, whether from hours ago or months ago) are performed best in the middle ofthe day. Night work does not affect either of these tasks

3. After eating, the ability to make a concentrated effort to perform tasks is reduced.4. The ability to perform tasks that require concentration is reduced during night time and

darkness.5. A person’s internal body clock, workload, meals or motivational changes together with the

time of the day will all influence performance.

• Minor Illnesses And Performance

Minor illnesses, such as the common cold, can influence performance productiveness. Theeffects depend on the nature of the illness and the type of task being carried out. Influenza(flu) decreases performance of tasks, while common colds slow response time in performanceand slow down hand-eye co-ordination. It is important to note that performance is affectednot only during the illness itself, but it is also affected before the illness appears and duringthe period of recovery after the illness. Prolonged work or noise can affect people more whenthey have a minor illness.

• Motion And Fatigue

Motion-Induced FatigueMotion affects a person’s ability to maintain physical balance. A combination of a ship’smotion and a person’s work has a large influence on the running of a vessel. One reason formotion induced fatigue (MIF) - fatigue caused through living and working on a moving vessel- is the extra energy required to maintain balance while moving. A ship’s pitch and rollmotions mean a person might have to use 15-20% extra effort to maintain balance. Excessivemovement can also cause nausea and motion sickness.

• Stress And Performance

Stress occurs when a person is confronted with an environment that poses a threat or demand,and the individual becomes aware of his/her inability to cope with the environment (a feelingof being overwhelmed while wanting to be able to cope). This can result in reduce workperformance and health problems.


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Stress can be caused by a number of things, including:

1. Environmental hardships: noise, vibration, exposure to high and low temperatures, etc.2. Weather3. Personal problems: family problems, home sickness, etc.4. Broken rest5. Long working hours6. On board interpersonal relationships

• Voyage Trading Cycle

Voyage trading cycle looks at ship-type and pattern of sea passage including where port callsare made and how long a ship remains in port. Length of sea passage, port-rotationsequences, seasonal climatic variations all have effects on a person’s level of fatigue.However, even though it is known that voyage trading cycle affects fatigue, more research isneeded to identify those specific voyage cycles where fatigue incidence is likely to be morecommon.

• Potential Effects Of Fatigue And Other Features Of Seafarers Work On Performance:Overview And Summary

This module has identified a number of areas where fatigue may influence performanceefficiency on a ship. However, the nature and extent of these will vary from one vessel toanother. This topic needs a concerted research effort to ascertain the scale of these effects onperformance efficiency, and the degree to which fatigue poses a hazard to safe operations.Further research is needed into the following:

1. Problems resulting from the design of the vessel2. Problems associated with multicultural crews3. Problems associated with motion

- visual- manual- central fatigue induced by motion- motion sickness- peripheral fatigue due to adjusting posture

4. Combined effects of motion-induced fatigue and workload, shiftwork, loss of sleep, noiseand vibration, other aspects of the physical environment, illness and medication.

***

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ANNEX 2

Module 2

FATIGUE AND THE SEAFARERS (RATINGS)

• How can you recognize fatigue in yourself and others?

Your ability to pay attention (level of alertness) is directly influenced by fatigue. Wheneveralertness is affected by fatigue, your performance will be handicapped.

You may exhibit one or more changes in behavior when experiencing fatigue. Watch forchanges such as the following:

- inability to stay awake (an example is falling asleep against your will);- poor judgement of distance, speed, time, etc.;- inaccurate interpretation of a situation (examples are focusing on a minor problem

and/or failing to anticipate the gravity of the situation or failing to anticipate danger);- slow or no response to normal, abnormal or emergency situations;- reduced attention span;- difficulty concentrating and thinking clearly;- difficulty with hand-eye coordination skills (an example is switch selection);- increased willingness to take risks;- speech difficulties (it may be slurred, slowed or garbled); and- increased mood changes (examples are irritability, tiredness and depression).

It is important that you notify your supervisor when you recognize that you or othercrewmembers are experiencing fatigue.

• What can cause fatigue?

Fatigue may be caused and/or made worse by one or a combination of things such as:- lack of sleep;- poor quality of sleep;- insufficient rest time between work periods;- excessive work load;- poor quality of rest;- stress (caused by family problems, work or problem with other shipmates);- boring and repetitive work;- noise or vibration;- ship’s movement;- food (timing, frequency, content and quality);- medical conditions and illnesses;- chemicals, like caffeine, allergy or cold medications;- jet-lag.


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Sleep Issues To satisfy the needs of your body, you need:

- deep sleep;- between 7 to 8 hours of sleep per 24-hour day;- uninterrupted sleep.

Internal ClockEach individual has an internal clock (sometimes called biological clock or circadian clock)that regulates the daily cycle of activity and inactivity.

The internal clock makes you sleepy or alert on a regular schedule whether you are workingor not. The internal clock gets off cycle by the irregular work schedules (advancing orretarding clocks) and by jet lag. Over time, your internal clock will reset itself by an hour ortwo a day.

Work LoadThe effects of consistently high work loads, whether due to working excessive hours orperforming physically demanding or mentally stressful tasks, can endanger your health andthe rest of the crew on board and/or the safety of your ship. Excessive working hours andfatigue can result in negative effects such as:

- increased accident and fatality rates;- increased dependence upon drugs, tobacco or alcohol;- poor quality and disrupted sleep patterns;- higher frequency of cardiovascular, respiratory or digestive disorders;- increased risk of infection;- loss of appetite.

• What can mitigate the effects of fatigue?

The most powerful means of relieving fatigue is to get proper sleep and to rest whenappropriate. However, a number of things have been identified as potentially providing someshort-term relief. Note, however, that these countermeasures may simply just mask thesymptoms temporarily.

- An interesting challenge, an exciting idea, a change in work routine or anything elsethat is new and different will keep you awake.

- Bright lights, cool dry air, music and other irregular sounds can increase alertness.- Caffeine (encountered in coffee and tea, and to a lesser extent in colas and chocolate)

appears to help combat sleepiness in some people effectively for short periods,however, regular usage over time will reduce it’s value as a stimulant and may makeyou more tired and less able to sleep.

- Any type of muscular activity helps to keep you alert; running, walking, stretching oreven chewing gum can stimulate our level of alertness.

- Conversation can help you stay awake.- Controlled, strategic naps can improve alertness and performance (the most effective


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• How can you protect yourself from the onset of fatigue?

The most effective strategy to fight fatigue is to ensure that you get the very best sleep. Hereare some sleep and rest guidelines that can aid in the prevention of fatigue:

- Get sufficient sleep, especially before any period when you anticipate that you willnot get adequate sleep.

- When you sleep, make it a long period of sleep.- Take strategic naps.- Take breaks when scheduled breaks are assigned.- Develop and maintain good sleep habits, develop a pre-sleep routine (something that

you always do to get you ready to sleep).- Monitor your hours of work and rest when opportunity arises.- Eat regular, well-balanced meals (including fruits and vegetables, as well as meat and

starches).- Exercise regularly.

Here are some general guidelines on developing good sleep habits:- Develop and follow a pre-sleep routine to promote sleep at bedtime (examples are a

warm shower or reading calming material).- Make the sleep environment conducive to sleep (a comfortable bed, a dark, quiet and

cool environment encourages sleep).- Satisfy any other physiological needs before trying to sleep (examples are if hungry or

thirsty before bed, eat or drink lightly to avoid being kept awake by digestive activityand always visit the head before trying to sleep).

- Avoid alcohol and caffeine prior to sleep (keep in mind that coffee, tea, colas,chocolate, and some medications, including cold remedies and aspirin, may containalcohol and/or caffeine).

• Sea stories (Examples)

To be developed.

***

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ANNEX 3

Module 3

FATIGUE AND THE SHIPS’S OFFICERS

• How can you recognize fatigue in yourself and others (signs/symptoms)?

Your level of alertness depends on the effects of fatigue. Whenever alertness is affected byfatigue, human performance can be impaired. Fatigue can affect your capacity for tasksinvolving physical exertion and strength, as well as your ability to solve complex problems ormake decisions.

Table 1 describes some of the possible effects of fatigue by listing the performanceimpairments and the symptoms associated with them.

TABLE 1EFFECTS OF FATIGUE

PERFORMANCE IMPAIRMENT SIGNS/SYMPTOMS

1 Inability to concentrate • Unable to organize a series of activities

• Preoccupied with a single task

• Focuses on a trivial problem, neglecting more importantones

• Reverts to old but ineffective habits

• Less vigilant than usual2 Diminished decision-making

ability• Misjudges distance, speed, time, etc.

• Fails to appreciate the gravity of the situation

• Overlooks items that should be included

• Chooses risky options

• Has difficulty with simple arithmetic, geometry, etc. 3 Poor memory • Fails to remember the sequence of task or task

elements• Has difficulty remembering events or procedures• Forgets to complete a task or part of a task

4 Slow response • Responds slowly (if at all) to normal, abnormalor emergency situations

5 Loss of control of bodilymovements

• May appear to be drunk• Inability to stay awake• Speech is affected, e.g. it may be slurred, slowed

or garbled


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6 Mood change • Is quieter, less talkative than usual• Is unusually irritable

7 Attitude change • Fails to anticipate danger• Fails to observe and obey warning signs• Seems unaware of own poor performance• Too willing to take risks• Ignores normal checks and procedures• Displays a “don’t care” attitude


Fatigue may be caused and/or its effects intensified by one or a combination of factors suchas:

- lack of sleep;- poor quality of sleep;- insufficient rest time between work periods;- excessive work load;- poor quality of rest;- stress (e.g due to relationship problems, work environment);- monotonous tasking;- shipboard environment (e.g. noise, vibration, movement, humidity and temperature);- food (timing, frequency, content and quality)- medical conditions and illnesses;- consumption of chemicals (e.g. caffeine, allergy or cold medication); and- jetlag.

Sleep and Rest Issues Sleep loss and sleepiness can degrade every aspect of human performance, such as decision-making, response time, judgement, hand-eye coordination, and countless other skills.

In order to be effective in satisfying the need of our body, sleep must have threecharacteristics:

- Duration: Everyone’s sleep needs are unique; however, it is generally recommendedthat a person obtains on average 7 to 8 hours of sleep per 24-hour day. A personneeds the amount of sleep that produces the feeling of being refreshed and alert.Insufficient sleep over several consecutive days will impair alertness; only sleep canmaintain or restore performance levels.

- Continuity: The sleep should be uninterrupted. Six one-hour naps do not have thesame benefit as one six-hour period of sleep.

- Quality: People need deep sleep. All sleep is not of the same quality and does notprovide the same fully recuperative benefits.

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Many factors can contribute to the disruption of sleep, including:- environmental factors – e.g. ship’s violent movement, weather, heavy vibration, noise

or poor accommodation;- food and consumption of chemicals – e.g. alcohol intake, coffee, medication, etc.;- psychological factors – e.g. stress, family worries, on-duty responsibilities;- sleep disorders – e.g. insomnia (prolonged inability to obtain adequate sleep) or sleep

apnea (a condition where breathing stops when sleep occurs due to a collapse of theupper airway or the diaphragm not moving causing the person to wake up); and

- operational factors – e.g. disruptions caused by drills, loading and unloading.

Another important factor that can affect fatigue and recovery is rest. Rest, apart from sleep,can be provided in the form of breaks or changes in activities. Research has shown that restpauses or breaks are indispensable as a physiological requirement if performance andefficiency are to be maintained. Factors influencing the need for rest are the length andintensity of the activities prior to a break or change in activity, the length of the break or thenature of the new activity.

Internal Clock and Circadian RhythmEach individual has an internal clock (also known as a biological clock or a circadian clock)that regulates the daily cycle of activity and inactivity. The internal clock sustains circadianrhythms, a regular recurrence in cycles of about 24 hours, of biological processes or activitiessuch as sleeping/waking, body temperature, hormone levels, sensitivity to drugs, etc.

The internal clock is perfectly synchronized to the traditional pattern of daytime wakefulnessand nighttime sleep. The circadian rhythm creates two times of maximum sleepiness in each24-hour period, independent of other factors that cause sleepiness: 3-5am and 3-5pm.

Our internal clock makes us sleepy or alert on a regular schedule whether we are working ornot. Sleep and circadian rhythms interact in several ways:

- The two can work against one another thereby weakening or negating each other’seffect – e.g. a well-rested person who has slept recently can be affected by a circadianlow-point (which favors sleepiness); conversely, a person at a peak in the circadianrhythm (which favors wakefulness) can show degraded performance if sleep deprived.

- The two can work in the same direction, thereby intensifying the effect they each haveon sleepiness or alertness – e.g. when the factors which affect sleepiness (prior sleepquantity and quality) favor sleepiness during a circadian low-point, a person trying tomaintain wakefulness has both sets of physiological factors to fight. In this case, theurge to sleep may be irresistible.

The working patterns experienced by many seafarers – irregular schedules, which includerotation of shifts within a time zone and those which require time zone crossing – run indirect conflict with the internal clock. This causes the circadian rhythms to be out ofsynchronization. The internal clock can adjust by an hour or two a day. Sometimes,depending on the new schedule, it takes several days for the body to adjust. The internalclock is waking a person up when they need to sleep and putting them to sleep when theyneed to be awake.


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Work LoadThe social, physical and psychological effects of consistently high work loads, whether dueto working excessive hours or performing physically demanding or mentally stressful tasks,can jeopardize your health and the rest of the crew on board, and/or the safety of your ship.In addition to the effects listed in Table 1 (Effects of Fatigue), excessive working hours andfatigue can result in negative effects such as:

- increased accident and fatality rates;- increased dependence upon drugs, tobacco or alcohol;- poor sleep quality and disrupted sleep patterns;- higher frequency of cardiovascular disease or gastro-intestinal problems;- increased risk of infection; and- loss of appetite.

Jet LagJet lag is a condition, characterized by various psychological and physiological effects(fatigue, sleep deprivation, irritability), that occurs following long flights through severaltime zones. It is easier to adjust to crossing time zones east to west as opposed to west toeast. The greatest difficulty in adjustment results from crossing 12 time zones, the least fromcrossing one time zone.


The most powerful means of relieving fatigue is to get proper sleep and to rest whenappropriate. Many things that can also reduce fatigue are unfortunately beyond a singleperson’s ability to influence, like work scheduling, voyage scheduling, and ship design.However, a number of things have been identified as potentially providing some short-termrelief. Note, however that these countermeasures may simply just mask the symptomstemporarily.

- Interest or opportunity An interesting challenge, an exciting idea, a change in work routine or anything elsethat is new and different may help to keep you awake. If the job is boring ormonotonous, alertness fades.

- Environmental light, temperature, humidity, sound, and aroma Bright lights, cool dry air, obtrusive or loud music or other annoying irregular sounds,and some invigorating aromas (such as peppermint) may temporarily increasealertness.

- Food and consumption of chemical Certain chemicals and foods ingested or inhaled may enhance alertness. Caffeine(encountered in coffee and tea and to a lesser extent in foods such as colas andchocolate) appears to help combat sleepiness in some people effectively for shortperiods of time. However, regular usage over time will reduce its value as a stimulantand may make you more tired and less able to sleep.

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- Muscular activity Any type of muscular activity helps to keep you alert; running, walking, stretching oreven chewing gum can stimulate your level of alertness.

- Social Interaction Social interaction (conversation) can help you stay awake. However, the interactionmust be active to have effect.

- Strategic Napping Controlled, strategic naps can improve alertness and performance. The most effectivelength of time for a nap is about 20 minutes.

- Job RotationChanging the order of activities, where personnel are assigned tasks that includevariety in the nature of tasks, can be beneficial in breaking up job monotony. Mixingtasks requiring high physical or mental work with low-demand tasks can bebeneficial.

Although not a recommended fatigue mitigation strategy; the implication of eminent danger suchas hearing ships’ alarms, avoiding a fall or a falling object, or just surviving a near miss will pullyou from a sleepy state.

• What kind of effect does fatigue have on performance?

When you are suffering from fatigue, your performance on the job will be affected.

Fatigue can influence factors that can be critical in the safe and efficient operation of shipsand their equipment, particularly in congested, busy or environmentally sensitive waters.Table 1 (Effects of Fatigue) describes some of the possible effects of fatigue, including thosethat can affect performance.

• How can people protect themselves from the onset of fatigue?

The most effective strategy to fight fatigue is to ensure that you get the very best quality andquantity of sleep.

Here are some sleep and rest guidelines that can aid in the prevention of fatigue:- Get sufficient sleep, especially before any period you expect that time for adequate

sleep will not be available.- Ensure continuous periods of sleep.- Take strategic naps (the most effective length of time for a nap is about 20 minutes).- Take breaks when scheduled breaks are assigned.- Develop and maintain good sleep habits, e.g. develop a pre-sleep routine.- Monitor and effectively manage hours of work and rest by maintaining individual

records of hours rested or worked.


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- Maintain fitness for duty including medical fitness.- Eat regular, well-balanced meals.- Exercise regularly.

Here are some general guidelines on developing good sleep habits:- Develop and follow a pre-sleep routine to promote sleep at bedtime (e.g. a warm

shower, reading calming material, or just making a ritual of pre-bed preparation canprovide the routine).

- Make the sleep environment conducive to sleep (a comfortable bed, and a dark, quietand cool environment encourages sleep).

- Satisfy any other physiological needs before trying to sleep (e.g. if hungry or thirstybefore bed, eat or drink lightly to avoid being kept awake by digestive activity andalways visit the toilet before trying to sleep).

- Avoid alcohol and caffeine prior to sleep (keep in mind that coffee, tea, colas,chocolate, and some medications, including cold remedies and aspirin contain alcoholand/or caffeine).

- Consider relaxation techniques such as meditation and yoga, which can also be ofgreat help if learned properly.

• What can be done to reduce crew fatigue on board ship?

Factors such as the following are important for the prevention of fatigue on board ship:- ensuring compliance with maritime regulations concerning minimum hours of rest

and/or maximum hours of work;- utilizing rested mariners to cover for those traveling long hours to join the ship and

expected to go in water as soon as they arrive on board (e.g. without allowing time toovercome fatigue and for familiarization purposes);

- creating an open communication environment, e.g. by making it clear to the crewmembers that it is important to inform supervisors when fatigue is impairing theirperformance and that there will be no recriminations for such reports;

- scheduling drills in a manner that minimizes the disturbance of rest/sleep periods;- establishing on-board management techniques when scheduling shipboard work and

rest periods, watchkeeping practices and assignment of duties in a more efficientmanner (See Appendices 2 and 3 – “Model format for table of shipboard workingarrangements” and Model format for records of hours of work or hours of rest ofseafarers”, respectively);

- assigning work by mixing up task to break up monotony and to combine workrequiring high physical or mental demand with low-demand tasks (job rotation);

- emphasizing the relationship between work and rest periods to ensure that adequaterest is received by promoting individual record keeping of hours rested or workedusing (where appropriate) formats recommended by IMO and ILO in “Guidelines forthe Development of Tables of Shipboard Working arrangements and Formats ofRecords of Seafarers’ Hours of Work or Hours of Rest”;

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- re-appraising traditional work patterns and areas of responsibility on board, toestablish the most efficient utilization of resources (e.g. splitting the long cargooperations between officers instead of the traditional pattern, chief mate in charge ofit; utilizing rested mariners to cover for those travelling long hours to join the ship andexpected to go on watch as soon as they arrive on board);

- ensuring that shipboard conditions, within the crew’s ability to influence, aremaintained in a good state (e.g. maintenance for HVAC occurs on schedule, lightbulbs are replaced, sources of unusual noise and are taken care of at the firstopportunity);

- establishing shipboard practices for dealing with fatigue incidents and learning fromthem (as part of safety meetings); and

- increasing awareness of the long term health benefits of appropriate lifestyle behavior(e.g. exercise, relaxation, nutrition, smoking and alcohol consumption).

• What rules and regulations are in place to prevent and deal with fatigue?

Each individual Flag Administration is responsible for the development, acceptance,implementation and enforcement of national and international legislation (conventions,codes, guidelines, etc.) that deals with the various fatigue aspects: work hours, rest periods,crew competency and watchkeeping practices.

The following international organizations have issued various conventions and otherinstruments that deal with the fatigue aspects:

- International Labor Organization: Convention Concerning Seafarers’ Hours of Workand the Manning of Ships – ILO Convention No. 1801;

- International Maritime Organization: International Convention on Standards ofTraining Certification and Watchkeeping for Seafarers, 1978 as amended in 1995(STCW Convention); Seafarer’s Training, Certification and Watchkeeping Code(STCW Code); International Safety Management Code (ISM Code); and variousguidelines/recommendations.

Company and Flag Administration policies, which may be more stringent in some cases, shouldbe followed on board all vessels in addition to the international standards.

• Case studies/examples

The following examples are personal accounts extracted from various research studies (referto the list of References) on the impact of the effects of fatigue. Note that some of theseexamples are no longer legal or condoned under the current regulatory environment, but havebeen included for educational purposes.

1 Not yet in force, but is considered to represent the international framework.


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The following are verbatim accounts of some of the incidents:

“During port operations, I was serving as chief officer and had worked continuously for48 hours. I contributed to a chemical overflow in which serious injury occurred by notconcentrating on the loading operation (Acrylonitrile overflowed and covered two menwhen I hot-washed an adjacent tank)”

- shipmaster

“On previous ship 12-15 hour days, never had six hours continuous sleep, 87 hour weekfor three months. Regularly made errors in passage planning and execution. Did not daresit down on watch.”

- first officer, passenger ship

Examples of other incidents that can be considered to be direct result of extended hours ofduty or fatigue, include:

- a cargo ship that collided with an oil tanker after the watchkeeping officer – who hadobtained only 2.5 hours sleep in the preceding 33 hours – fell asleep;

- damage to a berth when it was hit by a ship under the control of an officer who hadspent 18 hours on watch in fog and during a river passage;

- a seafarer who suffered severe leg injuries after falling down a ladder following12 hours on watch;

- an officer who was off sick for six weeks with mental and physical exhaustion after amonth in which he worked 500 hours onboard a ship;

- two cases of watchkeeping officers “dozing off” while in control of fast ferries;- a grounding that occurred after the deck officers had been working an average of

16 hours a day, with no opportunity for sleep longer than three hours;- a helmsman who turned hard to port instead of hard to starboard;- a watchkeeping officer who “nodded off” – missing a required turn;- numerous incidents of overfilled tanks, oil spillage, chemicals and flammable

materials, loading and ballasting errors;- numerous incidents of cargo damage, machinery damage, and failure to correctly

close or open valves;- repeated reports of individuals suffering from nervous breakdowns, exhaustion,

inability to concentrate, forgetfulness, slow reactions, poor judgement, irritability andtension;

***

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ANNEX 4

Module 4


• How can you recognize fatigue in yourself and others (signs/symptoms)?

Your level of alertness is directly influenced by fatigue. Whenever alertness is affected byfatigue, human performance can be impaired. Fatigue can affect your capacity for tasksinvolving physical exertion and strength, as well as your ability to solve complex problems ormake decisions.

Table 1 describes some of the possible effects of fatigue by listing performance impairmentsand the symptoms associated with them.

TABLE 1EFFECTS OF FATIGUE

PERFORMANCE IMPAIRMENT SIGNS/SYMPTOMS

1 Inability to concentrate • Unable to organize a series of activities

• Preoccupied with a single task

• Focuses on a trivial problem, neglecting more importantones

• Reverts to old but ineffective habits

• Less vigilant than usual2 Diminished decision-making

ability• Misjudges distance, speed, time, etc.

• Fails to appreciate the gravity of the situation

• Overlooks items that should be included

• Chooses risky options

• Has difficulty with simple arithmetic, geometry, etc. 3 Poor memory • Fails to remember the sequence of task or task elements

• Has difficulty remembering events or procedures

• Forgets to complete a task or part of a task 4 Slow response • Responds slowly (if at all) to normal, abnormal or

emergency situations


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5 Loss of bodily control • May appear to be drunk

• Inability to stay awake

• Speech is affected e.g. it may be slurred, slowed or garbled 6 Mood change • Is quieter, less talkative than usual

• Is unusually irritable 7 Attitude change • Fails to anticipate danger

• Fails to observe and obey warning signs

• Seems unaware of own poor performance

• Too willing to take risks

• Ignores normal checks and procedures

• Displays a “don’t care” attitude


Fatigue may be caused and/or its effects intensified by one or a combination of factors suchas:

- lack of sleep;- poor quality of sleep;- insufficient rest time between work periods;- excessive work load;- poor quality of rest;- stress (e.g. due to relationship problems, work environment);- monotonous tasking;- shipboard environment (e.g. noise, vibration, movement, humidity and temperature)- food (timing, frequency, content and quality);- medical conditions and illnesses;- consumption of chemicals (e.g. caffeine, allergy and cold medication); and- jetlag.

Sleep and Rest Issues Sleep loss and sleepiness can degrade every aspect of human performance, such as decision-making, response time, judgement, hand-eye coordination, and countless other skills.

All sleep is not of the same quality and does not provide the same fully recuperative benefits.In order to satisfy the needs of the human body, sleep must have three characteristics:

- Duration: Everyone’s sleep needs are unique; however, it is generally recommendedthat a person obtains on average 7 to 8 hours of sleep per 24-hour day. A person needsthe amount of sleep that produces the feeling of being refreshed and alert. Insufficientsleep over several consecutive days will impair alertness; only sleep can maintain orrestore performance levels.

- Continuity: The sleep should be uninterrupted. Six one-hour naps do not have thesame benefit as one six-hour period of sleep.

- Quality: People need deep sleep. All sleep is not of the same quality and does notprovide the same fully recuperative benefits.

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Many factors can contribute to the disruption of sleep, including:- environmental factors - e.g. ship’s violent movement, weather, heavy vibration, noise

or poor accommodation;- food and consumption of chemicals - e.g. alcohol intake, coffee, medication;- psychological factors - e.g. stress, family worries, on-duty responsibilities;- sleep disorders - e.g. insomnia (prolonged inability to obtain adequate sleep) or sleep

apnea ( a condition where breathing stops when sleep occurs due to a collapse of theupper airway or the diaphragm not moving causing the person to wake up); and

- operational factors – e.g. disruptions caused by drills, loading and unloading.

Environmental factors, such as the following, can make it easier to fall asleep:- comfortable bed;- dark room;- quiet atmosphere;- comfortable temperature;- adequate flow of fresh air; and- no interruptions.

Another important factor that can affect fatigue and recovery is rest. Rest, apart from sleep,can be provided in the form of breaks or changes in activities. Research has shown that restpauses or breaks are indispensable as a physiological requirement if performance andefficiency are to be maintained. Factors influencing the need for rest are the length andintensity of the activities prior to a break or change in activity, the length of the break or thenature of the new activity.

Internal Clock and Circadian RhythmEach individual has an internal clock (also known as a biological clock or a circadian clock)that regulates the daily cycle of activity and inactivity. The internal clock sustains circadianrhythms, a regular recurrence in cycles of about 24 hours, of biological processes or activitiessuch as sleeping/waking, body temperature, hormone levels, sensitivity to drugs, etc.

The internal clock is perfectly synchronized to the traditional pattern of daytime wakefulnessand nighttime sleep. The circadian rhythm creates two times of maximum sleepiness in each24-hour period, independent of other factors that cause sleepiness: 3-5am and 3-5pm.

The internal clock makes a person sleepy or alert on a regular schedule whether they areworking or not. Sleep and circadian rhythms interact in several ways:

- The two can work against one another thereby weakening or negating each other’seffect – e.g. a well-rested person who has slept recently can be affected by a circadianlow-point (which favors sleepiness); conversely, a person at a peak in the circadianrhythm (which favors wakefulness) can show degraded performance if sleep-deprived.

- The two can work in the same direction, thereby intensifying the effect they each haveon sleepiness or alertness – e.g. when the factors which affect sleepiness (prior sleepquantity and quality) favor sleepiness during a circadian low-point, a person trying tomaintain wakefulness has both sets of physiological factors to fight. In this case, theurge to sleep may be irresistible.


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The working patterns experienced by many seafarers – irregular schedules, which includerotation of shifts within a time zone and those which require time zone crossing – run in directconflict with the internal clock. This causes the circadian rhythms to be out ofsynchronization. The internal clock can adjust by an hour or two a day. Sometimes,depending on the new schedule, it takes several days for your body to adjust. The internalclock is waking a person up when they need to sleep and putting them to sleep when theyneed to be awake.

Work LoadThe social, physical and psychological effects of consistently high work loads, whether due toworking excessive hours or performing physically demanding or mentally stressful tasks, canjeopardize your health and the rest of the crew on board, and/or the safety of your ship. Inaddition to the effects listed in Table 1 (Effects of Fatigue), excessive working hours andfatigue can result in negative effects such as:

- increased accident and fatality rates;- increased dependence upon drugs, tobacco or alcohol;- poor sleep quality and disrupted sleep patterns;- higher incidence of cardiovascular disease or gastro-intestinal problems;- increased risk of infection; and- loss of appetite.

Jet LagJet lag is a condition, characterized by various psychological and physiological effects(e.g. fatigue, sleep deprivation, irritability), that occurs following long flights through severaltime zones. It is easier to adjust to crossing time zones east to west as opposed to west to east.The greatest difficulty in adjustment results from crossing 12 time zones, the least fromcrossing one time zone.


The most powerful means of relieving fatigue is to get proper sleep and to rest whenappropriate. Many things that can also reduce fatigue are unfortunately beyond a singleperson’s ability to influence, like work scheduling, voyage scheduling, and ship design.However, a number of things have been identified as potentially providing some short-termrelief. Note, however, that these countermeasures may simply just mask the symptomstemporarily.

- Interest or opportunityAn interesting challenge, an exciting idea, a change in work routine or anything elsethat is new and different may help to keep you awake. If the job is boring ormonotonous, alertness fades.

- Environmental light, temperature, humidity, sound and aromaBright lights, cool air, obtrusive or loud music or other annoying irregular sounds, andsome invigorating aromas (such as peppermint) may temporarily increase alertness.

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- Food and consumption of chemicalsCertain chemicals and foods ingested or inhaled may enhance alertness. Caffeine(encountered in coffee and tea and to a lesser extent in foods such as colas andchocolate) appears to help combat sleepiness in some people effectively for shortperiods of time. However, regular usage over time will reduce its value as a stimulantand may make you more tired and less able to sleep.

- Muscular activityAny type of muscular activity helps to keep you alert; running, walking, stretching oreven chewing gum can stimulate your level of alertness.

- Social InteractionSocial interaction (conversation) can help you stay awake. However, the interactionmust be active to have effect.

- Strategic NappingControlled, strategic naps can improve alertness and performance. The most effectivelength of time for a nap is about 20 minutes.

- Job RotationChanging the order of activities, where personnel are assigned tasks that includevariety in the nature of tasks, can be beneficial in breaking up job monotony. Mixingtasks requiring high physical or mental work with low-demand tasks can also bebeneficial.

Although not a recommended fatigue mitigation strategy; the implication of eminent danger suchas hearing ships’ alarms, avoiding a fall or a falling object, or just surviving a near miss will pullyou from a sleepy state.

• What kind of effect does fatigue have on performance?

When you are suffering from fatigue, your performance on the job will be affected.

Fatigue can influence factors that can be critical in the safe and efficient operation of shipsand their equipment, particularly in congested, busy or environmentally sensitive waters.Table 1 describes some of the possible effects of fatigue, including those that can affectperformance.

• How can you protect yourself from the onset of fatigue?

The most effective strategy to fight fatigue is to ensure that you get the very best quality andquantity of sleep.

Here are some sleep and rest guidelines that can aid in the prevention of fatigue:- Get sufficient sleep, especially before any period when you expect that time for

adequate sleep will not be available.- Ensure continuous periods of sleep.


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- Take strategic naps (the most effective length of time for a nap is about 20 minutes).- Take breaks when scheduled breaks are assigned.- Develop and maintain good sleep habits, e.g. develop a pre-sleep routine.- Monitor and effectively manage hours of work and rest by maintaining individual

records of hours rested or worked.- Maintain fitness for duty, including medical fitness.- Eat regular, well-balanced meals.- Exercise regularly.

Here are some general guidelines on developing good sleep habits:- Develop and follow a pre-sleep routine to promote sleep at bedtime (e.g. a warm

shower, reading calming material, or just making a ritual of pre-bed preparation).- Make the sleep environment conducive to sleep (e.g. a comfortable bed, a dark, quiet

and cool environment encourages sleep).- Satisfy any other physiological needs before trying to sleep (e.g. if hungry or thirsty

before bed, eat or drink lightly to avoid being kept awake by digestive activity).- Avoid alcohol and caffeine prior to sleep (keep in mind that coffee, tea, colas,

chocolate, and medications, including some cold remedies and aspirin contain alcoholand/or caffeine).

- Consider relaxation techniques such as meditation and yoga, which can also be ofgreat help if learned properly.

• What can be done to reduce crew fatigue on board ship?

Factors such as the following are important for the prevention of fatigue on board ship:

- ensuring and verifying compliance with maritime regulations concerning minimumhours of rest and/or maximum hours of work;

- utilizing rested mariners to cover for those traveling long hours to join the ship andexpected to go in water as soon as they arrive on board (e.g. without allowing time toovercome fatigue and for familiarization purposes);

- underlining to shore management the importance and benefits of addressing fatiguemanagement and countermeasures in the context of the company’s SafetyManagement System (as required by the International Safety Management Code);

- emphasizing to shore management the importance of the constant interaction betweenthem and the ship management with respect to fatigue awareness and preventivemeasures on board the vessels;

- creating an open communication environment, e.g. by making it clear to the crewmembers that it is important to inform supervisors when fatigue is impairing theirperformance and that there will be no recriminations for such reports;

- emphasizing to shore management the importance of selecting seafarers with the righttraining and experience for the job;

- improving shipboard conditions to ensure that when there is an opportunity to sleepcrew members can take advantage without interruptions, e.g. by scheduling drills androutine maintenance functions in a manner that minimizes the disturbance of rest/sleepperiods;

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- establishing on-board management techniques when scheduling shipboard work andrest periods, watchkeeping practices and assignment of duties, including provisions forperiodical reviews and adjustments of the schedules as necessary (See Appendices 2and 3– “Model format for table of shipboard working arrangements” and “Modelformat for records of hours of work or hours of rest of seafarers”, respectively);

- assigning work by mixing up task to break up monotony and to combine workrequiring high physical or mental demand with low-demand tasks(job rotation);

- advocating to shore management that shipboard personnel are provided with trainingand support for recognizing and dealing with the effects of fatigue;

- emphasizing the relationship between work and rest periods to ensure that adequaterest is received, by promoting individual record keeping of hours rested or workedusing (where appropriate) formats recommended by IMO and ILO in “Guidelines forthe Development of Tables of Shipboard Working Arrangements and Formats ofRecords of Seafarers’ Hours of Work or Hours of Rest”;

- taking time occasionally to personally verify that watchkeeping personnel are gettingadequate rest;

- ensuring that shipboard conditions, within the crew’s ability to influence, aremaintained in a good state (e.g. maintenance for HVAC occurs on schedule, lightbulbs are replaced, sources of unusual noise and are taken care of at the firstopportunity);

- re-appraising traditional work patterns and areas of responsibility onboard, to establishthe most efficient utilization of resources (e.g. splitting the long cargo operationsbetween officers instead of the traditional pattern, chief mate in charge of it; utilizingrested mariners to cover for those travelling long hours to join the ship and expected togo on watch as soon as they arrive on board);

- promoting supportive relationships on board (good morale) and dealing withinterpersonal conflict between seafarers;

- establishing shipboard practices for dealing with fatigue incidents and learning fromthem (e.g. as part of the safety meetings); and

- increasing awareness of the long term health benefits of appropriate lifestyle behavior(e.g. exercise, relaxation, nutrition, smoking and alcohol consumption).

• What rules and regulations are in place to prevent and deal with fatigue?

Each individual Flag Administration is responsible for the development, acceptance,implementation and enforcement of national and international legislation (conventions, codes,guidelines, etc.) that deal with the various fatigue aspects: work hours, rest periods, crewcompetency and watchkeeping practices.

The following international organizations have issued various conventions and otherinstruments that address fatigue:

- International Labor Organization (ILO)Convention Concerning Seafarers’ Hours of Work and the Manning of Ships – ILOConvention No.1801;

1 Not yet in force.


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- International Maritime Organization (IMO)International Convention on Standards of Training Certification and Watchkeeping forSeafarers, 1978, as amended in 1995 (STCW Convention); Seafarer’s Training,Certification and Watchkeeping Code (STCW Code); International Safety ManagementCode (ISM Code); and various guidelines/recommendations.

Company and Flag Administration policies, which may be more stringent in some cases, shouldbe followed on board all vessels in addition to the international standards.

• How does fatigue relate to the ILO and IMO instruments?

The following ILO instruments contain guidance on fatigue related aspects:

- Convention No. 180Introduces provisions to establish limits on seafarers’ maximum working hours orminimum rest periods so as to maintain safe ship operations and minimize fatigue. Thetext of the Convention is provided in Appendix 3.

- Other ConventionsOther ILO Conventions related to fatigue include: Conventions Nos. 92, 133, 140, 141and 147, all introducing minimum habitability requirements (e.g. noise control and airconditioning) on board vessels.

The following IMO instruments contain guidance on fatigue related aspects:

- ISM CodeThis Code introduces safety management requirements on shipowners to ensure thatconditions, activities and tasks both ashore and afloat, affecting safety andenvironmental protection are planned, organized, executed and verified in accordancewith company requirements. The fatigue related requirements include:

1. manning of vessels with qualified and medically fit personnel;2. familiarization and training for shipboard personnel; and3. issuance of necessary support to ensure that the shipmaster’s duties can be

adequately performed.The texts of the regulations are provided in Appendix 4.

- STCW Convention and STCW Code The STCW Convention requires that Administrations, for the purpose of preventingfatigue, establish and enforce rest period requirements for watchkeeping personnel. Inaddition, the Convention sets minimum periods and frequencies of rest. Part A of theCode requires posting of the watch schedules. Part B of the Code recommends thatrecord keeping is useful as a means of promoting compliance with the restrequirements. The text of the regulation, Part A and Part B of the Code, are providedin Appendix 5.

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- Resolution A.772(18) 2 – Fatigue Factors in Manning and Safety This Resolution provides a general description of fatigue and identifies the factors ofship operations which may contribute to fatigue. The text of the Resolution isprovided in Appendix 5.

- Other InstrumentsAppendix 6 contains a list of IMO instruments identified as having some applicabilityto crew fatigue.

• Case studies/examples

The following examples are personal accounts extracted from various research studies (refer tothe list of References) on the impact of the effects of fatigue. Note that some of these examplesare no longer legal or condoned under the current regulatory environment, but have been includedfor educational purposes.

The following are verbatim accounts of some of the incidents:

“During port operations, I was serving as chief officer and had worked continuously for 48hours. I contributed to a chemical overflow in which serious injury occurred by notconcentrating on the loading operation (Acrylonitrile overflowed and covered two men when Ihot-washed an adjacent tank)”

- shipmaster

“On previous ship 12-15 hour days, never had six hours continuous sleep, 87 hour week forthree months. Regularly made errors in passage planning and execution. Did not dare sitdown on watch.”

- first officer, passengership

Examples of other incidents that can be considered to be direct results of extended hours ofduty and/or fatigue, include:

- a cargo ship that collided with an oil tanker after the watchkeeping officer – who hadonly 2.5 hours sleep in the preceding 33 hours – fell asleep;

- $40,000 damage to a berth when it was hit by a ship under the control of an officerwho had spent 18 hours on watch in fog during a river passage;

- a seafarer who suffered severe leg injuries after falling down a ladder following12 hours on watch;

- an officer who was off sick for six weeks with mental and physical exhaustion after amonth in which he worked 500 hours onboard a ship;

- two cases of watchkeeping officers “dozing off” while in control of fast ferries;- a grounding that occurred after the deck officers had been working an average of

16 hours a day, with no opportunity for sleep longer than three hours;- a helmsman who turned hard to port instead of hard to starboard;

2 Resolutions are not binding on governments, however their content is in most cases implemented by governmentthrough incorporation in domestic legislation.


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- a watchkeeping officer who “nodded off” – missing a required turn;- numerous incidents of overfilled tanks, oil spillage, chemicals and flammable

materials, loading and ballasting errors;- numerous incidents of cargo damage, machinery damage, and failure to correctly close

or open valves;- sleep-related car crashes while driving home from ship; and- repeated reports of individuals suffering from nervous breakdowns, exhaustion,

inability to concentrate, forgetfulness, slow reactions, poor judgement, irritability andtension.

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APPENDICES

APPENDIX 1 References

APPENDIX 2 Model format for table of Shipboard Working Arrangements

APPENDIX 3 Model format for Records of Hours of Work or Hours ofRest of Seafarers

APPENDIX 4 ILO Convention No. 180 - The Seafarer’s Hours of Work andthe Manning of Ships Convention, 1996

APPENDIX 5 Relevant requirements of the International SafetyManagement Code (ISM Code)

APPENDIX 6 Relevant requirements of the International Convention onStandards of Training, Certification and Watchkeeping forSeafarers, 1978, as amended in 1995, and the STCW Code

APPENDIX 7 IMO Resolution A.772(18) – Fatigue Factors in Manning andSafety (Annex)

APPENDIX 8 Pertinent IMO Instruments relating to Fatigue


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APPENDIX 1

REFERENCES

United Kingdom National Union of Marine, Aviation and Shipping Transport Officers(1997). Give us a Break. United Kingdom: Author.

Transportation Safety Board of Canada (1997, August). A guide for investigating forfatigue. Canada: Author.

International Transport Workers’ Federation (1997). Seafarer Fatigue: Wake up to thedangers. United Kingdom: Author.

Parker, A.W., Hubinger, L.M., Green, S., Sargent, L., & Boyd, R. (1197, July). A surveyof the health, stress and fatigue of Australian Seafarers. Australia: Australian Maritime SafetyAuthority.

Moore-Ede, M., Mitchell, R. E., Heitmann, A., Trutsche, U., Aguirre, A., & Hajarnavis,H. (May 1996). Canalert 1995: Alertness Assurance in the Canadian railways. Cambridge, MA:Circadian Technologies, Inc.

Sandquist, T., Raby, M., Maloney, A.L. (1996, June). Fatigue and Alertness in MerchantMarine Personnel: A field study of work and sleep patterns (DOT Rep. CG-D-06-97). Virginia:Department of Transportation.

Videotel (1998). Fatigue and Stress at Sea [video]. London: Videotel.

Pollard, J.K., Sussman, E.D., & Stearns, M. (1990). Shipboard Crew fatigue, Safety andReduced Manning (Rep. DOT-MA-RD-840-90014). Virginia: Department of Transportation.

McCallum, M.C., & Raby, M. (1996, September). Procedures for Investigating andReporting Human Factors and Fatigue Contributions to Marine Casualties (Rep. CG-D-09-97).Virginia: Department of Transportation.

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APPENDIX 2

MODEL FORMAT FOR TABLE OF SHIPBOARD WORKINGARRANGEMENTS


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Model format for table of shipboard working arrangements3

Name of ship: Flag of ship: IMO number (if any): Latest update of table: ( ) of ( ) pages

The maximum hours of work or minimum hours of rest are applicable in accordance with : (national law or regulation) issued in conformity with ILO's Seafarers' Hoursof Work and the Manning of Ships Convention 1996 (No. 180) and with any applicable collective agreement registered or authorized in accordance with that Convention and with the International Conventionon Standards of Training, Certification and Watchkeeping for Seafarers, 1978, as amended, (STCW Convention).4

Maximum hours of work or minimum hours of rest5: ______________________________________________________________________________________

Other requirements: ___________________________________________________________________________________________

Position/Rank6 Scheduled daily work hours at sea Scheduled daily work hours in portComments

Total daily work/rest3 hours

Watchkeeping(from - to)

Non-watchkeepingduties(from - to)7

Watchkeeping(from - to)

Non-watchkeepingduties(from - to)5

At sea In port

Signature of Master ______________________________________

3

The terms used in this model table are to appear in the working language or languages of the ship and in English.4

See overleaf for selected extracts from ILO Convention 180 and the STCW Convention.5

Delete as applicable.6

For those positions/ranks that are also listed in the ship's safe manning document, the terminology used should be the same as in that document.7 For watchkeeping personnel, the comments section may be used to indicate the anticipated number of hours to be devoted to unscheduled work and any such hours should be included in the appropriate total

daily work hours column.

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Selected texts from ILO Convention 180 and the STCW Convention

ILO Convention 180

Art.5 paragraph 1. The limits on hours of work or rest shall be as follows: (a) maximum hours of work shall not exceed: (i) 14 hours in any 24-hour period; and (ii) 72 hours in any seven-day period;or (b) minimum hours of rest shall not be less than: (i) ten hours in any 24-hour period; and (ii) 77 hours in any seven-day period.

Art. 5 paragraph 2. Hours of rest may be divided into no more than two periods, one of which shall be at least six hours in length, and the interval between consecutive periods of rest shall not exceed 14hours.

Art. 5 paragraph 6. Nothing in paragraphs 1 and 2 shall prevent the Member from having national laws or regulations or a procedure for the competent authority to authorize or register collectiveagreements permitting exceptions to the limits set out. Such exceptions shall, as far as possible, follow the standards set out but may take account of more frequent or longer leaveperiods or the granting of compensatory leave for watchkeeping seafarers or seafarers working on board ships on short voyages.

Art. 7 paragraph 1 Nothing in this Convention shall be deemed to impair the right of the master of a ship to require a seafarer to perform any hours of work necessary for the immediate safety of the ship,persons on board or cargo, or for the purpose of giving assistance to other ships or persons in distress at sea.

Art.7 paragraph 3 As soon as practicable after the normal situation has been restored, the master shall ensure that any seafarers who have performed work in a scheduled rest period are provided with anadequate period of rest.

STCW Convention

Section A-VIII/1 of the STCW Code (Mandatory)

1. All persons who are assigned duty as officer in charge of a watch or as a rating forming part of a watch shall be provided a minimum of 10 hours rest in any 24-hour period.

2. The hours of rest may be divided into no more than two periods, one of which shall be at least 6 hours in length.

3. The requirements for rest periods laid down in paragraph 1 and 2 need not be maintained in the case of an emergency or drill or in other overriding operational conditions.

4. Notwithstanding the provisions of paragraphs 1 and 2, the minimum period of ten hours may be reduced to not less than 6 consecutive hours provided that any such reduction shall notextend beyond two days and not less than 70 hours of rest are provided each seven day period.

5. Administrations shall require that watch schedules be posted where they are easily accessible.

Section B-VIII/1 of the STCW Code (Guidance)

3. In applying regulation VIII/1, the following should be taken into account:

.1 provisions made to prevent fatigue should ensure that excessive or unreasonable overall working hours are not undertaken. In particular, the minimum rest periods specifiedin Section A-VIII/1 should not be interpreted as implying that all other hours may be devoted to watchkeeping or other duties;

.2 that the frequency and length of leave periods, and the granting of compensatory leave, are material factors in preventing fatigue from building up over a period of time;

.3 the provisions may be varied for ships on short-sea voyages, provided special safety arrangements are put in place; and


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APPENDIX 3

MODEL FORMAT FOR RECORDS OF HOURS OF WORKOR HOURS OF REST OF SEAFARERS

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From IMO/ILO/JWG/8 – Report on Joint Group on the Seafarer’s Hours of Work and theManning of Ship’s Convention, 1996. To be inserted.


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APPENDIX 4

SEAFARERS' HOURS OF WORK ANDTHE MANNING OF SHIPS CONVENTION, 1996 (NO. 180)

PART I. SCOPE AND DEFINITIONS

Article 1

1. This Convention applies to every seagoing ship, whether publicly or privately owned,which is registered in the territory of any Member for which the Convention is in force and isordinarily engaged in commercial maritime operations. For the purpose of this Convention, aship that is on the register of two Members is deemed to be registered in the territory of theMember whose flag it flies.

2. To the extent it deems practicable, after consulting the representative organizations offishing-vessel owners and fishermen, the competent authority shall apply the provisions of thisConvention to commercial maritime fishing.

3. In the event of doubt as to whether or not any ships are to be regarded as seagoing shipsor engaged in commercial maritime operations or commercial maritime fishing for the purpose ofthe Convention, the question shall be determined by the competent authority after consulting theorganizations of shipowners, seafarers and fishermen concerned.

4. This Convention does not apply to wooden vessels of traditional build such as dhows andjunks.

Article 2

For the purpose of this Convention:

(a) the term “competent authority” means the minister, government department orother authority having power to issue regulations, orders or other instructionshaving the force of law in respect of seafarers' hours of work or rest or themanning of ships;

(b) the term “hours of work” means time during which a seafarer is required to dowork on account of the ship;

(c) the term “hours of rest” means time outside hours of work; this term does notinclude short breaks;

(d) the term “seafarer” means any person defined as such by national laws orregulations or collective agreements who is employed or engaged in any capacityon board a seagoing ship to which this Convention applies;

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(e) the term “shipowner” means the owner of the ship or any other organization orperson, such as the manager or bareboat charterer, who has assumed theresponsibility for the operation of the ship from the shipowner and who onassuming such responsibility has agreed to take over all the attendant duties andresponsibilities.

PART II. SEAFARERS' HOURS OF WORK AND HOURS OF REST

Article 3

Within the limits set out in Article 5, there shall be fixed either a maximum number ofhours of work which shall not be exceeded in a given period of time, or a minimum number ofhours of rest which shall be provided in a given period of time.

Article 4

A Member which ratifies this Convention acknowledges that the normal working hours'standard for seafarers, like that for other workers, shall be based on an eight-hour day with oneday of rest per week and rest on public holidays. However, this shall not prevent the Memberfrom having procedures to authorize or register a collective agreement which determinesseafarers' normal working hours on a basis no less favourable than this standard.

Article 5

1. The limits on hours of work or rest shall be as follows:

(a) maximum hours of work shall not exceed:

(i) 14 hours in any 24-hour period; and

(ii) 72 hours in any seven-day period; or

(b) minimum hours of rest shall not be less than:

(i) ten hours in any 24-hour period; and

(ii) 77 hours in any seven-day period.

2. Hours of rest may be divided into no more than two periods, one of which shall be at leastsix hours in length, and the interval between consecutive periods of rest shall not exceed 14hours.

3. Musters, fire-fighting and lifeboat drills, and drills prescribed by national laws andregulations and by international instruments shall be conducted in a manner that minimizes thedisturbance of rest periods and does not induce fatigue.


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4. In respect of situations when a seafarer is on call, such as when a machinery space isunattended, the seafarer shall have an adequate compensatory rest period if the normal period ofrest is disturbed by call-outs to work.

5. If no collective agreement or arbitration award exists or if the competent authoritydetermines that the provisions in the agreement or award in respect of paragraph 3 or 4 areinadequate, the competent authority shall determine such provisions to ensure the seafarersconcerned have sufficient rest.

6. Nothing in paragraphs 1 and 2 shall prevent the Member from having national laws orregulations or a procedure for the competent authority to authorize or register collectiveagreements permitting exceptions to the limits set out. Such exceptions shall, as far as possible,follow the standards set out but may take account of more frequent or longer leave periods or thegranting of compensatory leave for watchkeeping seafarers or seafarers working on board shipson short voyages.

7. The Member shall require the posting, in an easily accessible place, of a table with theshipboard working arrangements, which shall contain for every position at least:

(a) the schedule of service at sea and service in port; and

(b) the maximum hours of work or the minimum hours of rest required by the laws,regulations or collective agreements in force in the flag State.

8. The table referred to in paragraph 7 shall be established in a standardized format in theworking language or languages of the ship and in English.

Article 6

No seafearer under 18 years of age shall work at night. For the purpose of this Article,“night” means a period of at least nine consecutive hours, including the interval from midnight tofive a.m. This provision need not be applied when the effective training of young seafarersbetween the ages of 16 and 18 in accordance with established programmes and schedules wouldbe impaired.

Article 7

1. Nothing in this Convention shall be deemed to impair the right of the master of a ship torequire a seafarer to perform any hours of work necessary for the immediate safety of the ship,persons on board or cargo, or for the purpose of giving assistance to other ships or persons indistress at sea.

2. In accordance with paragraph 1, the master may suspend the schedule of hours of work orhours of rest and require a seafarer to perform any hours of work necessary until the normalsituation has been restored.

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3. As soon as practicable after the normal situation has been restored, the master shallensure that any seafarers who have performed work in a scheduled rest period are provided withan adequate period of rest.

Article 8

1. The Member shall require that records of seafarers' daily hours of work or of their dailyhours of rest be maintained to allow monitoring of compliance with the provisions set out inArticle 5. The seafarer shall receive a copy of the records pertaining to him or her which shall beendorsed by the master, or a person authorized by the master, and by the seafarer.

2. The competent authority shall determine the procedures for keeping such records onboard, including the intervals at which the information shall be recorded. The competentauthority shall establish the format of the records of the seafarers' hours of work or of their hoursof rest taking into account any available International Labour Organization guidelines or shalluse any standard format prepared by the Organization. The format shall be established in thelanguage or languages provided by Article 5, paragraph 8.

3. A copy of the relevant provisions of the national legislation pertaining to this Conventionand the relevant collective agreements shall be kept on board and be easily accessible to thecrew.

Article 9

The competent authority shall examine and endorse the records referred to in Article 8, atappropriate intervals, to monitor compliance with the provisions governing hours of work orhours of rest that give effect to this Convention.

Article 10

If the records or other evidence indicate infringement of provisions governing hours ofwork or hours of rest, the competent authority shall require that measures, including if necessarythe revision of the manning of the ship, are taken so as to avoid future infringements.

PART III. MANNING OF SHIPS

Article 11

1. Every ship to which this Convention applies shall be sufficiently, safely and efficientlymanned, in accordance with the minimum safe manning document or an equivalent issued by thecompetent authority.

2. When determining, approving or revising manning levels, the competent authority shalltake into account:

(a) the need to avoid or minimize, as far as practicable, excessive hours of work, toensure sufficient rest and to limit fatigue; and

(b) the international instruments identified in the Preamble.


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Article 12

No person under 16 years of age shall work on a ship.

PART IV. RESPONSIBILITIES OF SHIPOWNERS AND MASTERS

Article 13

The shipowner shall ensure that the master is provided with the necessary resources forthe purpose of compliance with obligations under this Convention, including those relating to theappropriate manning of the ship. The master shall take all necessary steps to ensure that therequirements on seafarers' hours of work and rest arising from this Convention are compliedwith.

PART V. APPLICATION

Article 14

A Member which ratifies this Convention shall be responsible for the application of itsprovisions by means of laws or regulations, except where effect is given by collectiveagreements, arbitration awards or court decisions.

Article 15

The Member shall:

(a) take all necessary measures, including the provision of appropriate sanctions andcorrective measures, to ensure the effective enforcement of the provisions of thisConvention;

(b) have appropriate inspection services to supervise the application of the measurestaken in pursuance of this Convention and provide them with the necessaryresources for this purpose; and

(c) after consulting shipowners' and seafarers' organizations, have procedures toinvestigate complaints relating to any matter contained in this Convention.

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APPENDIX 5

RELEVANT REQUIREMENTS OF THEINTERNATIONAL SAFETY MANAGEMENT CODE

(ISM CODE)

6. Resources and Personnel

6.1 The Company should ensure that the master is:

1. properly qualified for command;

2. fully conversant with the Company’s SMS; and

3. given the necessary support so that the master’s duties can be safely performed.

6.2 The Company should ensure that each ship is manned with qualified, certificated andmedically fit seafarers in accordance with national and international requirements.

6.3 The Company should establish procedures to ensure that new personnel and personneltransferred to new assignments related to safety and protection of the environment are givenproper familiarisation with their duties. Instructions which are essential to be provided priorto sailing should be identified, documented and given.

6.4 The Company should ensure that all personnel involved in the Company’s SMS have anadequate understanding of relevant rules, regulations, codes and guidelines.

6.5 The Company should establish and maintain procedures for identifying any training whichmay be required in support of the SMS and ensure that such training is provided for allpersonnel concerned.

6.6 The Company should establish procedures by which the ship’s personnel receive relevantinformation on the SMS in a working language or languages understood by them.

6.7 The Company should ensure that the ship’s personnel are able to communicate effectively inthe execution of their duties related to the SMS.


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APPENDIX 6

RELEVANT REQUIREMENTS OF THE INTERNATIONAL CONVENTION ONSTANDARDS OF TRAINING, CERTIFICATION AND WATCHKEEPING

FOR SEAFARERS, 1978, AS AMENDED IN 1995, AND ITS CODE

Regulation VIII/1

Fitness for duty

Each Administration shall, for the purpose of preventing fatigue:

1. establish and enforce rest periods for watchkeeping personnel; and

2. require that watch systems are so arranged that the efficiency of all watchkeepingpersonnel is not impaired by fatigue and that duties are so organized that the first watch atthe commencement of a voyage and subsequent relieving watches are sufficiently restedand otherwise fit for duty.

Section A-VIII/1Fitness for duty

1. All persons who are assigned duty as officer in charge of a watch or as a rating formingpart of a watch shall be provided a minimum of 10 hours rest in any 24-hour period.

2. The hours of rest may be divided into no more than two periods, one of which shall be atleast 6 hours in length.

3. The requirements for rest periods laid down in paragraph 1 and 2 need not be maintainedin the case of an emergency or drill or in other overriding operational conditions.

4. Notwithstanding the provisions of paragraphs 1 and 2, the minimum period of ten hoursmay be reduced to not less than 6 consecutive hours provided that any such reduction shall notextend beyond two days and not less than 70 hours of rest are provided each seven day period.

5. Administrations shall require that watch schedules be posted where they are easilyaccessible.

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Section B-VIII/1

Guidance regarding fitness for duty

Prevention of fatigue

1 In observing the rest period requirements, "overriding operational conditions" should beconstrued to mean only essential shipboard work which cannot be delayed for safety orenvironmental reasons or which could not reasonably have been anticipated at thecommencement of the voyage.

2 Although there is no universally accepted technical definition of fatigue, everyoneinvolved in ship operations should be alert to the factors which can contribute to fatigue,including, but not limited to those identified by the Organization,8 and take them into accountwhen making decisions on ship operations.

3 In applying regulation VIII/1, the following should be taken into account:

.1 provisions made to prevent fatigue should ensure that excessive or unreasonableoverall working hours are not undertaken. In particular, the minimum rest periodsspecified in Section A-VIII/1 should not be interpreted as implying that all otherhours may be devoted to watchkeeping or other duties;

.2 that the frequency and length of leave periods, and the granting of compensatoryleave, are material factors in preventing fatigue from building up over a period oftime;

.3 the provisions may be varied for ships on short-sea voyages, provided specialsafety arrangements are put in place; and

4 Administrations should consider the introduction of a requirement that records of hours ofwork or rest of seafarers should be maintained and that such records are inspected by theAdministration at appropriate intervals to ensure compliance with regulations concerningworking hours or rest periods.

5 Based on information received as a result of investigating maritime casualties,Administrations should keep their provisions on prevention of fatigue under review.

8See IMO resolution A.722(18), paragraphs 2 to 4.4.1.


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APPENDIX 7

RESOLUTION A.772(18)adopted on 4 November 1993

ANNEX

FATIGUE FACTORS IN MANNING AND SAFETY

1 INTRODUCTION

1.1 The purpose of this document is to provide a general description of fatigue, to identify thefactors of ship operations which may contribute to fatigue, and to classify those factors underbroad categories to indicate the extent to which the factors may be related.

1.2 The objective is to increase awareness of the complexity of fatigue and to encourage allparties involved in ship operations to take these factors into account when making operationaldecisions.

2 GENERAL DESCRIPTION OF FATIGUE

2.1 Fatigue results in the degradation of human performance, the slowing down of physical andmental reflexes and/or the impairment of the ability to make rational judgements.

2.2 Fatigue may be induced by factors such as prolonged periods of mental or physical activity,inadequate rest, adverse environmental factors, physiological factors and/or stress or otherpsychological factors.

3 CLASSIFICATION OF FATIGUE FACTORS IN RELATED GROUPS

3.1 In the case of seafarers, among the most commonly recognized and documented causes offatigue are poor quality of rest, excessive workload, noise and interpersonal relationships. Thecontributory factors that lead to the above are many and varied. The significance of these factorsas contributory causes of fatigue will vary depending on operational circumstances. Somefactors will be more manageable than others. Such factors can be grouped as follows:

3.1.1 Management ashore and aboard ship, and responsibilities of Administrations:

- scheduling of work and rest periods;- manning levels;- assignment of duties;- shore-ship-shore support and communication;- standardization of work procedures;- voyage planning;- watchkeeping practices;- management policy;

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- in-port operations;- recreational facilities;- administrative duties.

3.1.2 Ship-specific factors:

- level of automation;- reliability of equipment;- motion characteristics;- vibration, heat and noise levels;- quality of working and living environment;- cargo characteristics/requirements;- ship design.

3.1.3 Crew-specific factors:

- thoroughness of training;- experience;- crew composition - cohesiveness;- crew competency and quality.

3.1.4 External environmental factors:

- weather;- port conditions;- ice conditions;- density of vessel traffic.

4 GENERAL DISCUSSION

4.1 Management ashore, aboard ship, and also the responsibilities of Administrations

4.1.1 The prevention of fatigue in the areas of scheduling of shipboard work and rest periods,manning levels, watchkeeping practices and assignment of duties could largely be accomplishedby sensible shore-based management and on-board management techniques. It is also recognizedthat Administrations have an equally important role to play with respect to legislation leading toacceptance, implementation and enforcement in those areas covered by international conventions.Guidelines and provisions should take into account the relationships between work and restperiods to ensure adequate rest. These considerations should include a review of the voyagelength, length of port stay, length of service of individual crew members, periods ofresponsibility and watchkeeping practices.

4.1.2 It is essential that management should provide clear, concise written policy guidance toensure that ships' crews are familiar with ships' operational procedures, cargocharacteristics, voyage length, destination, internal and external communication practices andship familiarization procedures.


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4.1.3 Management should recognize that crews joining a ship need to be adequately restedbefore assuming on-board duties.

4.2 Ship-specific factors

4.2.1 In designing or modifying ships, existing requirements, recommendations, standards andpublications pertaining to the listed factors should be taken into account.Additionally, allowance should be made in designing ships for the adoption of ergonomicpractices to prevent fatigue from these factors.

4.3 Crew-specific factors

4.3.1 Thoroughness of training is considered to be important in the prevention of fatigue.Fitness for duty, including medical fitness, proper working experience and thequalifications and quality of crew members are also considered important in this context.

4.3.2 It is important that management recognizes the potential problems stemming from theemployment of multinational crews on the same vessel, a practice that might result in languagebarriers and in social, cultural and religious isolation, all ofwhich may lead to safety problems.

4.3.3 Special emphasis should be placed by management on issues of interpersonalrelationships, loneliness, social deprivation and increased workloads which may occur as a resultof small crew complements.

4.3.4 Boredom can contribute to fatigue, and it is therefore necessary to provide seafarers withappropriate stimulation.

4.4 External environmental factors

4.4.1 In respect of the listed external environmental factors, it should also be recognized thatthey could contribute to fatigue.

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APPENDIX 8

PERTINENT IMO INSTRUMENTSRELATING TO FATIGUE

The following IMO instruments were reviewed with regard to their applicability to crewfatigue:

CONVENTIONS and CODES

International Convention on Standards of Training, Certification and Watchkeeping forSeafarers, 1978, as amended in 1995 (STCW Convention)

Seafarers' Training, Certification and Watchkeeping Code (STCW Code)

International Code of Safety for High Speed Craft (HSC Code)

ASSEMBLY RESOLUTIONS

A.481(XII)9 Principles of Safe Manning

A.741(18) International Management Code for the Safe Operation of Ships and for PollutionPrevention (International Safety Management (ISM) Code)

A.772(18) Fatigue Factors in Manning and Safety

A.792(19) Safety Culture In and Around Passenger Ships

A.850(20) Human Element Vision, Principles and Goals for the Organization

MARITIME SAFETY COMMITTEE (MSC) CIRCULARS

MSC/Circ.493 Recommendation Related to the Fatigue Factor in Manning and Safety

MSC/Circ.565 Fatigue as a Contributory Factor in Maritime Accidents

MSC/Circ.566 Provisional Guidelines for Conducting Trials in which the Officer Of TheNavigational Watch Acts as the Sole Look-Out in Periods of Darkness

9 Amendments pending adoption by the Assembly at its 21st session.


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MSC/Circ.675 Recommendations on the Safe Transport of Dangerous Cargoes andRelated Activities in Port Areas

MSC/Circ.747 Ship/Port Interface

MSC/Circ.813 List of human element common termsMEPC/Circ.330

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ANNEX 5

Module 5

FATIGUE AND THE TRAINING INSTITUTIONS ANDMANAGEMENT PERSONNEL IN CHARGE OF TRAINING

• Can the Concept of Fatigue be Taught?

Fatigue can be defined and described as a concept. The goal of training about fatigue is tohelp the student understand the concept of fatigue in general and be able to relate to it on apersonal level. Having achieved this goal, a foundation is created upon which the morespecific subject of seafarer fatigue can be developed.

Initial objective is to develop an awareness of the principal dimensions of fatigue and therecognition that it happens to everyone; fatigue is not a personal shortcoming or weakness,but rather a part of the human condition. It is inevitable that some students will resist or evendeny the possibility of a personal experience with fatigue, but it is important that studentsbecome aware of their potential for fatigue in order that the training have the full and desiredeffect.

Secondary objective is to develop an understanding of short term and long term fatigueincluding the characteristics, effects, and possible preventive and mitigating measures. Dueto the fact that many known solutions to fatigue in the shipboard environment lie outside thepower of an individual to implement, it is suggested that the initial introduction for seafarerparticipants avoid any major reference(s) to what might be perceived by the seafarer as“impossible” futuristic solutions such as the rearrangement of four-on, eight-off watches,changes to ship design, or modifications of voyage schedules. These particular solutionsmight, on the other hand, be very well suited to shipowner or ship management trainingsessions. Possible preventive and mitigation techniques should be introduced only after areasonable level of personalization and acceptance of the concept of fatigue have beenachieved.

Tertiary objective is to summarize the points and issues raised in reaching the initial andsecondary objectives and to integrate them with the intention of developing strategies toprevent or minimize fatigue for the student who must now return to the workplace.

• How the Concept of Fatigue can be Taught (emphasis on concept, prevention or both)

A wide variety of teaching techniques may be employed in order to accomplish the initialand secondary objectives referenced above. While both the concept of fatigue andprevention must be equally stressed, it remains most important (and therefore the initialobjective) that students personalize or “own” the concept. Otherwise, the desired resultswill be nearly impossible to achieve.


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It is imperative that the instructor engage the students early on so as to personalize theconcept of fatigue. An initially broad definition can kick off a group discussion whereinstudents are invited to share their own word(s) for this state of being. Once the variousdescriptions are shared, an agreement should be reached that the term “fatigue” is commonlyaccepted and will be used during the training session. Students should then be invited toshare brief descriptions of “fatigue experiences” in their lives. At this point no real effortshould be made to direct the conversation to a specific workplace or to seafaring. If a studentdenies such an experience, it can be pointed out that many people deny their personalexperiences with fatigue and others may not wish to recall them in public. A reminder thatfatigue is common to all human beings can be made and those in “denial” may later bedrawn into the conversation to see if they have recalled any experiences. In the end it is veryimportant that each individual accepts the concept of fatigue and is able to personalize it.

Having a sense that the students are accepting of the concept, the instructor should nowbuild on this foundation and direct the training toward the concept of seafarer fatigue andpreventive/mitigating measures and techniques (our secondary objective). At this point thevarious modules 2, 3, and 4 can be utilized to specifically tailor the training to the audience(such as masters, officers, or crew) and to develop the full subject with references to theeffects of fatigue, what can cause fatigue, what can mitigate the effects of fatigue, protectionfrom the onset of fatigue, rules and regulations concerning seafarer fatigue, and so forth.

The success of the training is directly related to whether or not the student is able topersonalize the concept. A live instructor is the best way to measure the progress of thestudents in the class and to provide emphasis as needed to reach all of the students.Computer Based Training (CBT) could prove a valid method of delivery but it requirescareful design in order to insure that each student is “personalizing” the concept beforeprogressing on to the secondary and tertiary objectives. It is probably true that any increasedlevel of awareness is better than none but a truly effective training session must involve thefeedback of students and gauging of their progress. No matter what pedagogical approach ischosen, the subject matter of this training can be greatly enhanced by video presentationsand similar audio-visual aids.

• What can be Learned from Experience?

The final summary stage of training integrates the initial and secondary objectives andfocuses on what the student will do after leaving the training session. In the ideal sense thisnew knowledge or awareness will be taken back to the workplace and put into good use.Prevention and mitigating techniques can become reality for the student who understandsand personalizes the concept of fatigue as well as the specific issues of seafarer fatigue.Lessons learned might provide a means to develop useful strategies to prevent or minimizefatigue. The instructor should review the personal experiences of fatigue previously sharedby the students and direct the conversation toward the “lessons learned” as students seethem. The focus would then shift to introducing lessons learned about fatigue in theseafarer’s workplace with students now sharing lessons learned with respect to theworkplace. At this time specific case studies may be instrumental in showing what can be orshould have been learned. This “lessons learned” segment will point the way toward whateach student should try to do upon returning to the workplace (the “strategies” called for inour tertiary objective).

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Without developing a sample syllabus, the three general learning objectives may be shownwith desired training outcomes in the following manner:

Objective One: Those successfully meeting the first objective of the course should be able todefine fatigue, relate to fatigue on a personal level, and recognize the signs of fatigue.

Objective Two: Those successfully meeting the second objective of the course should beable to understand and recognize the characteristics of short term and long term fatigueincluding the effects and consequences of these effects on the seafarer. They should be ableto understand what techniques are presently known which would prevent fatigue, and shouldunderstand the techniques and measures that might be used to mitigate fatigue.

Objective Three: Those successfully meeting the third objective of the course should be ableto integrate the understanding of fatigue and its effects, as well as the preventive measuresand mitigating techniques to finally develop personal strategies which will be used in theworkplace and will result in the reduction of personal fatigue and its consequences.

• How Can We Disseminate the Lessons Learned?

Lessons learned play a key role in helping students develop strategies for the workplace.They are also useful in reinforcing awareness of fatigue among seafarers, shipowners,managers, and naval architects. A periodic summary of lessons learned could be circulatedon a ship-by-ship or company-by-company basis or even by governmental agencies to therelevant population. The various missions and non- profit organizations (such as theSeamen’s Church Institute) can also be instrumental in passing on the “lessons learned.”Many companies, port authorities, and governmental agencies print and distribute circularswith safety as the focus; the subject of fatigue would fit well into such publications.CD-ROMs, videos, and Internet web-sites can also be useful in disseminating information.Examples showing how fatigue effects on other transportation industries could enhance theseafarer’s understanding of how pervasive and far-reaching the problem is. Throughdistributing these lessons the government, shipowner/manager, or shipmaster can showcommitment to the awareness and prevention of seafarer fatigue.

• Why we Include Case Studies/Examples

As seen in the tertiary objective, the development of strategies for “life after the trainingsession” is critically important. In this regard, it is necessary to incorporate casestudies/examples into the training. These cases serve to support the “lessons learned” portionof the training. Case studies from all transportation industries are useful but the majorityshould focus on the maritime sector and preferably that sector with which the student isinvolved (ships, barges, ratings, officers, etc.). The cases can be used to provide a picture ofwhat happened, probable causes, and what can be done differently to prevent a reoccurrence.


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Case studies are available from a number of sources. Insurance companies (particularly the P andI Clubs) should be encouraged to share their data on fatigue related claims including the costs ofthese claims. The IMO efforts on casualty statistics and investigations should be heightened andresults widely distributed. It is possible that newly created reporting schemes on accidents andnear misses might generate a volume of information in this area. Finally, the IMO Harmonizedreporting procedures (MSC/Circ.827) should be discussed in training sessions. It is hoped thatthe results of some of the reports can be shared in a “case study” manner.

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ANNEX 6

Module 6

SHIPBOARD FATIGUE AND THE OWNER/OPERATOR/MANAGER

• Why and what should they know about shipboard fatigue?

Fatigue has been recognized as an important Occupational Health and Safety (OH&S) issue forseafarers. Fatigue has the potential to greatly increase the risk of accidents and injuries in thework place. It disrupts body rhythms and results in poor sleep quality, digestive problems,delusions, confusion, lethargy, respiratory problems, depression, irritability, neurosis andtemporary psychosis. Fatigue adversely affects crew performance. It diminishes attentiveness andconcentration, slows physical and mental reflexes and impairs rational decision makingcapability.

An assessment of accidents occurring in the last six months of 1995 indicated that 16% of criticalvessel casualties and 33% of injuries were due in part to human fatigue1. Clearly addressing theissue of fatigue should have a positive effect upon personnel safety and result in the potential forreduced cost to the shipowner, operator or manager through the reduction in injury and physicaldamage to high value assets.

Fatigue occurs primarily because an individual cannot get sufficient rest to recover from theeffects of having been awake or heavily stressed for a prolonged period. The level of fatigueexperienced will be influenced by additional factors apart from the period awake. The type ofwork undertaken and the environment in which the individual works as well as the time of day inwhich work is done may all contribute to the level of fatigue experienced. One of the best waysthe effects of fatigue can be mitigated is through the accumulation of adequate recovery sleep.Here lies a difficulty, as it may be difficult to accumulate sufficient sleep even if an apparentlyadequate period is provided for the purpose.

The normal sleep-wake cycle of human being is controlled by a temperature rhythm referred toas the circadian rhythm. This rhythm has the effect of actively promoting sleep at night andwakefulness during the day. As a result work at night is likely to be more fatiguing and anindividual is less likely to be able to accumulate restful sleep during the daytime period whenthey are off watch. As a result, the person will generally get less sleep during the day than if theywere sleeping for an equivalent period at night2. Also day sleepers sleep lightly and thus areeasily disturbed by noise, hot, cold, etc. This is a significant issue when seeking to manage crewfatigue as the management process must take this factor into account to be effective.

1 McCallum M.C, Raby M and Rothblum A.M (1996) – Procedures for Investigating andReporting Human Factors and Fatigue Contributions to Marine Casualties. Report No CG-D-09-97. National Technical Information Service, Springfield, Virginia.2 Folkard S and Barton J (1993) – Does the ‘Forbidden Zone’ for sleep onset influence morningshift sleep duration? – Ergonomics. 36(1-3): 85-91.


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• How does fatigue affect crew performance?

In order to understand the physiological effects of fatigue it is useful to define these effects inrelation to a ‘known detriment’ in performance. In recent studies, the effect of fatigue was foundto be comparable to those of alcohol in terms of decrement of performance. One study found thata period of sustained wakefulness of 18 hours was comparable to a Blood Alcohol Concentration(BAC) of 0.05%3. As sleep deprivation continued for 24 hours the effects of fatigue equated to aBAC of 0.10%. It is important to note the this study was conducted using students who were wellrested (i.e., had not accumulated a sleep debt prior to the study) nor were they required toundertake any hard physical activity during the period. A similar trend would be expected to befound in other populations and in fact, it might be possible that the effects of sleep deprivationfor older individuals would be greater. Both quality of sleep and recovery from fatigue areknown to worsen with age.

Other factors that will influence the amount of performance degradation experienced bypersonnel from extended hours include the following:

- the time of day when work was commenced and completed,- the amount and timing of rest over the previous seven days,- the activities undertaken during the period of work and- the environment in which work was undertaken

It seems ironic that if a mariner’s performance degradation was attributed to the consumption ofalcohol the situation would be considered unacceptable. In view of the similarity of the effects ofalcohol and fatigue it is perhaps appropriate that both be considered undesirable.

Other research has shown that a period of sustained operations of 24 hours results in a drop inperformance of about 25%4. Fatigue will have a detrimental effect on higher level mentalfunctions prior to the more obvious effects such as falling asleep on watch or mood changebecoming apparent. Loss of the higher mental functions will degrade the ability to solve complexproblems or rapidly analyze information. It is likely those skills will be affected prior to anynoticeable reduction in ability to carry out routine and simple activities.

3 Dawson D, Lamond N, Donkin K and Reid K (1997) – Quantitative Similarity between theCognitive Psychomotor Performance Decrement Associated with Sustained Wakefulness andAlcohol Intoxication – From the minutes of the AAPMA 36th Biennial Conference 1998.4 Belenky G, Balkin T.J, Redmond D.P, Sing H.P, Thomas M.L, Thorne D.R and WesenstenN.J (1998) – Sustaining Performance during Continuous Operations: The US army’s SleepManagement System - taken from The 3rd International Conference on fatigue and Transportation1998, Fremantle, WA.

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To demonstrate the effects of loss of sleep or rest may have on the seafarer and the safety of thevessel, one can consider the effects as they relate to bridge watchkeeping. Sleep loss has beenreported as having the potential to:

1. Slow reaction time;

2. Delay responses;

3. Cause a failure to respond at the correct time;

4. Result in giving false responses; and

5. Result in slowed thinking and diminished memory.

None of these outcomes are desirable in any position that has critical safety implications. Anyrisk management strategy must focus on mitigating the hazard arising from fatigue in positionswhere injury and accident are likely should an individual fail to carry out an allotted task.

• What elements of fatigue can the Shipowner/Operator/Manager influence?

While it is not possible for the Shipowner, Operator and/or Manager to regulate and oversee thesleeping habits of every crewmember on every vessel, it is within their capability to establish afatigue management system in order to manage the risks involved. Hours of work are presentlycontrolled by a prescriptive formula set out in Chapter VIII of the Convention on Standards ofTraining, Certification and Watch keeping for Seafarers (STCW) 1978/1995. Managers shouldbe aware, when applying these hours of work limitations, that consideration of the issues of theeffects of the circadian rhythm and sleep debt are important to ensure that rest periods are of highquality. It also cannot be too highly stressed that rest means rest, not the substitution of adifferent form of work.Some of the elements that would need to be included in an effective fatigue management systemare5:

1. Objective measurement of the causes and effects of fatigue;2. Comprehensive programmes comprising the following elements:

- Training and education for all stakeholders in the understanding of fatigue andshiftwork (watchkeeping);

- Planning tools such as fatigue modelling or rosters (watchkeeping systems) and workarrangements; and

- Impairment testing programs, auditing the results of previous initiatives.

5 Dawson D, Fletcher A and Hussey F (1999) – Fatigue and Transport, Report to the NevilleCommittee – The Centre for sleep Research, University of South Australia.


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Sub-paragraph two details those activities which shipowners, operators and/or managers canimplement in order to manage some of the risks involved with fatigue. The primary implicationfor management is the need to monitor hours and assess the effectiveness of the routines beingemployed by the ships under their control.

Some organisations already maintain records of hours worked. However, these hours arenormally assessed against the criteria set out by the STCW convention or similar instruments.Taking into account the effects of circadian rhythm can strengthen this approach. Modelling toolsare now becoming available which will perform this work and would enable:

1. The analysis of planned work routines by management to ascertain the risk of fatigue;2. The monitoring of the hours of work on board the vessel to determine whether or not

the risk of fatigue is increasing as a result of the work arrangements in place and anyvariations that may have occurred; and

3. Management to analyse and compare the information relating to hours of work inorder to determine the effectiveness of the routines employed compared to thealternatives.

Such modelling systems are becoming more readily available and systems that are applicable tothe maritime environment are on the market. It is important to choose a system that has beenvalidated by a number of studies and has been utilised in transport application6

• What can they do to ensure that fatigue prevention is practised onboard?

As noted in the previous section an effective risk management system requires training of thoseinvolved and a system where the results of the implementation of fatigue risk mitigatingstrategies can be assessed. This suggests that an information system has to be establishedbetween management and the crewmembers of the vessel. The purpose of such a system is toprovide feed back to management in the form of information on the hours of work undertaken byeach member of the crew. Such information would allow management to:

1. Assess the effectiveness of work arrangements in place; and2. Confirm that work arrangements are being adhered to.

It may be impractical and unpopular with crews to require that they report exactly what they didwith their time off work. This will affect the results of the monitoring systems to the extent thatthe precise amount of sleep being accumulated cannot be recorded.

Despite this the return of hours of work information does provide the basis by whichmanagement can monitor the effectiveness of their risk mitigation strategy.

6 Reid T, Roberts T. and Dawson D. (1997) – Improving Shiftwork management II: Shiftworkand Health – Occupation Health and Safety (Aust/NZ) 1997, 13(5): 439-450.

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Ensuring crew understand the necessity to get regular rest and the implications, both tothemselves and to the safety of the ship and/or those working with them, should be imparted aspart of the education process. This process as with any other training needs to be ongoing innature and may be assessed as part of management’s supervision of the vessel and its crew.

Management should consider the following in developing fatigue management policies andsystems:

1. ISM Code requirements for clear, concise guidance on operational procedures onboard;

2. The need for joining crews to be adequately rested before assuming duties;3. Scheduling time for proper hand over on crew change;4. Voyage length, time in port, length of service and leave ratios;5. Multicultural issues; language barriers, social, cultural and religious isolation;6. Interpersonal relationships, stress, loneliness, boredom, social deprivation and

increased workload as a result of small crew numbers;7. Provision for shore leave and onboard recreation, family communication;8. Watchkeeping arrangements;9. Job rotation;10. Improved berthing spaces and accommodations;11. Proper nutritional quality and quantity of food12. Read Modules 2-4 for additional potential managerial mitigation tools;13. Modification of present ship design or future designs.

• What rules and regulations are in place to prevent and deal with fatigue (international,national and management)?

As discussed in the previous sections, Chapter VIII (Fitness for duty) of the STCW conventionsets out limits to the hours of work and minimum requirements for rest for watchkeepers. It doesnot stipulate minima for those not keeping watches. The limits described in Table VIII/1 of theconvention have been incorporated into national regulation in some countries. This action hasbeen taken to comply with the requirement of the STCW convention that “each administrationshall, for the purpose of preventing fatigue….. establish and enforce rest periods forwatchkeepers”.

In addition to the STCW convention the International Labour Organisation has developed ILOConvention No 180 (Seafarers Hours of Work and the Manning of Ships 1996). This conventionrequires governments to establish a work hour regime for crew members based on eitherminimum rest hours or maximum working hours which can be undertaken in a single day or overa seven-day period, in accordance with limits set out by the Convention. ILO 180 has not yetentered into force; however, this convention has been included in the new Protocol to ILO 147(Merchant shipping [minimum standards] convention). Nations which have ratified ILO 147 areentitled to inspect foreign flagged vessels to determine whether work standards as required byILO 147 are being complied with once the Protocol has been ratified by a sufficient number ofcountries and enters into force.


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STCW 78/95 and ILO 180 (once ratified) are relevant to the implementation of the ISM code inso much as the code requires operators to “maintain their vessel in conformity with theprovisions of the relevant rules an regulations.” Ensuring those on board are fit to undertake theirduty is relevant to the maintenance of the vessel in this context as it has an effect upon theseaworthiness of the vessel.

Experience with the limits, set by STCW and ILO 180, is needed to verify which conditionsrequire supplemental information or modifications. However, these requirements must beexamined with respect to other factors such as sleep propensity at given times of the day. A restbreak taken between the hours of 0000 and 1200 may result in a sleep of 7 to 8 hours comparedto a duration of only 5 to 6 hours duration for a rest break taken in the latter half of the day.

For countries that have independent OH&S legislation for their maritime industry this factor willbecome more significant with wider acceptance of fatigue modelling and fatigue riskmanagement. Under such circumstances compliance with the requirements and the use of riskmanagement tools, where available, will become necessary.

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References

Belenky G, Balkin T.J, Redmond D.P, Sing H.P, Thomas M.L, Thorne D.R and WesenstenN.J (1998) – Sustaining Performance during Continuos Operations: The US army’s SleepManagement System - taken from The 3rd International Conference on fatigue and Transportation1998, Fremantle, WA.

Dawson D, Lamond N, Donkin K and Reid K (1997) – Quantitative Similarity between theCognitive Psychomotor Performance Decrement Associated with Sustained Wakefulness andAlcohol Intoxication – From the minutes of the AAPMA 36th Biennial Conference 1998.

Dawson D, Fletcher A and Hussey F (1999) – Fatigue and Transport, Report to the NevilleCommittee – The Centre for sleep Research, University of South Australia.

Folkard S and Barton J (1993) – Does the ‘Forbidden Zone’ for sleep onset influence morningshift sleep duration? – Ergonomics. 36(1-3): 85-91

McCallum M.C, Raby M and Rothblum A.M (1996) – Procedures for Investigating andReporting Human Factors and Fatigue Contributions to Marine Casualties. Report No CG-D-09-97. National Technical Information Service, Springfield, Virginia.

Reid T, Roberts T and Dawson D (1997) – Improving Shiftwork management II: Shiftwork andHealth – Occupation Health and Safety (Aust/NZ) 1997, 13(5): 439-450

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ANNEX 7

MODULE 7

SHIPBOARD FATIGUE AND THE NAVAL ARCHITECT/SHIPDESIGNER

• Why do they need to know about shipboard fatigue?

The International Maritime Organization (IMO) has taken steps to publicise the role thathuman fatigue is increasingly recognised to play in Maritime Accidents e.g. MCS/Circ.565.Crew fatigue jeopardises ship safety when it leads to human error. Human error is believedto be the major cause of accidents across many industries (Donaldson, 1994). Evidence forthe role that it plays in maritime accidents has been provided by recent submissions to IMOe.g. those made by Japan (MSC 71/INF.8; MSC 69/INF.16); Finland (MSC 68/INF.15); andAustralia (MSC 69/INF.15). In addition to accidents, human fatigue also affects thepotential for operational problems, system breakdowns and near miss accidents. Fatigue candetrimentally affect factors such as decision-making leading to undesirable situations.

In addition to the threat to ship safety, shipboard fatigue can jeopardise seafarers’ physicaland psychological health, at a high cost to the individual and the industry. Seafarers work ina physically-demanding environment which requires a high degree of alertness andconcentration. Exhausted seafarers are more vulnerable to the many hazards onboard shipswhich result in slips and falls, strikes by falling objects, burns, body strains and otherinjuries. Injury claims from P&I Club statistics show how much these cost the industry, inaddition to lost time and vessel delays.

Sleep-deprivation is probably the main cause of seafarers’ fatigue, but it is not the sole one.Crew also become fatigued as a result of living and working onboard ship. This module willconcentrate on guidance for improving the ambient environmental conditions onboard shipas the main area where class rules and guidance can be used to alleviate fatigue. However,there is a limit on what can be achieved through design intervention with regards to theambient environment. In view of this, the working environment and the working practicesshould be designed to reduce or compensate for crew fatigue. This module deals with designimpacts and should therefore be read in conjunction with other modules.

Reducing shipboard fatigue will require orchestrated action by many groups including flagstates, shipowners and operators. However, naval architects and ship designers have aunique contribution to make through the implementation of improved design of shipboardconditions.


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• How does fatigue affect crew performance?

Fatigue can arise from sleep-deprivation; from physical or mental exhaustion; even from theboredom of watch-keeping in the still of the night. Whatever the cause, the effect of fatigueon crew performance can be crippling, bedevilling safe operations which rely on alertnessand concentration. Fatigue affects crew performance in a number of detrimental ways, e.g.it:

• causes drowsiness• impairs perception e.g. causing failure to detect visual or auditory stimuli• clouds judgement• slows reactions (physical and mental)• reduces motivation, encouraging apathy.

The effect that fatigue has on seafarers’ performance is now well-understood thanks tocomprehensive studies which have been undertaken on the subject, such as:

1. Parker A.W., Hubiner L.M., Green S., Sargent L. and R. Boyd (1997) A survey of thehealth, stress and fatigue of Australian seafarers. Conducted on behalf of the AustralianMaritime Safety Authority.

2. Sanquist T.F., Ravy M., Maloney A.L. and A.B. Carvalhais (1996) Fatigue and alertnessin merchant marine personnel: a field study of work and sleep patterns.

3. Seafarer fatigue: Wake up to the dangers. Submitted to IMO by the InternationalTransports Workers’ Federation. (IMO MSC 69/INF.10.).

4. Pollard, J.K., Sussman, E.D and Stearn, S.M.(1990). Shipboard Crew Fatigue, Safety andReduced Manning. (US DOT MA-RD-840-90014). US Department of Transportation,Maritime Administration.

The first two studies were conducted on behalf of the Australian and United Statesadministrations respectively, whilst the third study, undertaken by the InternationalTransport Workers’ Federation, analysed the views of seafarers all over the world:

“Based on responses from 2,500 seafarers of 60 different nationalities, serving under 63 differentflags, the report demonstrates the disturbing extent of excessive hours and fatigue within theindustry”. (IMO MSC 69/INF.10.).

These reports provide clear evidence of the extent of the problem, and the ways in whichfatigue is detrimental to performance. The third report contains a number ofrecommendations for improvements, the most pertinent for naval architects and shipdesigners being:

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• the consideration of shipboard ergonomics and the ability to gain an adequate quality ofsleep onboard, and

• the improvement of shipboard conditions.

Before examining the relationship of ergonomics to fatigue, some discussion will be given tothose aspects of fatigue which can be influenced by the application of ergonomics.

• What elements of fatigue can be influenced by the design process?

There are various aspects of seafarers’ fatigue which can be potentially influenced in thedesign process. These elements can be grouped in the following way:

1. Fatigue resulting from sleep-interruption or deprivation due to accommodation design.All aspects of crew cabins can be looked at to improve this situation e.g. accommodationlocation, soundproofing measures, cabin/bunk designs and configuration.

2. Fatigue resulting from workplace design that requires sustained exertion (physical ormental) which can be offset by better design of the workplace or by better upkeep of theoriginal condition of the ship.

3. Fatigue resulting from harsh ambient environmental conditions e.g. too much noise,excessive vibration, inadequate ventilation, poor lighting, excessive heat or cold, toomuch or too little humidity, poor air exchange in enclosed spaces where people live andwork.

4. Fatigue resulting from boredom (due too little change in the environment) associated withwork tasks or loads. These states include monotony, reduced vigilance and mentalsatiation. While most of the solutions for these condition might be related to modifyingwork practices, others might involve the innovative use of the following (all can be usedto stave off fatigue through lack of stimuli):

• lighting• temperature• sound• smell

5. Recovery from fatigue can be assisted or hampered by favourable or unfavourable crewonboard facilities including the design of features within:• accommodations• recreational facilities• galleys, mess rooms, food preparation and storage areas

hygiene facilities• medical facilities.


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6. Fatigue resulting from ship motions, seakeeping provisions relating to weather and seastates.

Fatigue which results from the design of the working environment can be alleviated byimprovements to the design of the working environment. General ‘ergonomic’ principleshave been developed to aid designers. These are examined in the next section.

• What does Ergonomics have to do with shipboard fatigue?

The discipline of ergonomics is founded on the belief that good design supports humanperformance and is not limited to aesthetic qualities. A well-designed work system or pieceof equipment, from an ergonomics viewpoint, takes advantage of human capabilities andminimizes the impact of human limitation while ensuring that the equipment or system isfully functional i.e. designed for human use and meets operational requirements.Ergonomics has been defined1 as:

“Ergonomics produces and integrates knowledge from the human sciences to match jobs,systems, products and environments to the physical and mental abilities and limitations ofpeople. In doing so, it seeks to improve health, safety, well-being and performance.”

Ergonomically designed work systems enhance safety, effectiveness and efficiency, shouldsupport the tasks done by officers and crew members under all conditions, includingsituations where people may be fatigued. Below are a set of general ergonomic principles2

designed to reduce fatigue by adapting working conditions to the anatomical, physiologicaland psychological characteristics of people in relation to their work environment. They are:

1. The design of the workspace and work equipment shall take into account constraintsimposed by body dimensions, with due regard to the work process.

2. The design of the work shall be such as to avoid unnecessary or excessive strain inmuscles, joints, ligaments, and in the respiratory and circulatory systems. Strengthrequirements shall be within physiologically desirable limits. Body movements shouldfollow natural rhythms. Body posture, strength exertion and body movements shouldbe in harmony with each other.

3. The work environment shall be designed and maintained so that physical, chemicaland biological conditions have no noxious effect on people but serve to ensure theirhealth, as well as their capacity and readiness to work. Account shall be taken ofobjectively measurable phenomena and of subjective assessment.

1 Defined by ISO/TC 159/SC 1/WG 1 ‘Principles of the design of work systems’ Vienna, 6/10/97.2 Taken from: Ergonomic principles in the design of work systems. ISO 6385-1981(E)

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4. The design of the work process shall safeguard the workers’ health and safety,promote their well-being, and facilitate task performance, in particular by avoidingoverloading and underloading. Overloading and underloading will result fromtransgressing, respectively the upper or lower limits of the operational range ofphysiological and/or psychological functions, for example: physical or sensoryoverloading produces fatigue; conversely, underloading or work sensed asmonotonous diminishes vigilance.

These general principles can be refined into a collection of more specific criteria, which arecontext-dependent. For example, the first principle above could be refined in terms ofcriteria for work-surface height, seating arrangements, space, range for controls, handles etc.The vast majority of ergonomic standards give specific guidance at a low-level of detail.Many of these are tailored for specific industries - some for the marine. Appropriatestandards are referenced in the following sections. A few standards give guidance on how toincorporate ergonomics into the design process e.g. Ergonomic principles in the design ofwork systems. ISO 6385-1981(E) and ASTM 1337, Human engineering programrequirements for Ships, Marine systems, equipment and facilities.

The following sections look at help which is available to the ship designer wanting to reduceseafarer’s fatigue. This help takes the form of tools, guides, standards, regulations and rules.

• What tools are available for designing/building a fatigue-resistant ship?

Unfavourable environmental conditions can be instrumental in encouraging fatigue.Environmental conditions include noise levels, vibration, ship motion, seakeeping qualitiesof the ship, lighting, temperature and ventilation. These environmental conditions affect theworkplace (bridge, engine room, etc.) and accommodation quarters including recreationalareas (dining, food preparation and storage areas, hygiene and medical support areas.)

These issues are spread over structural design, propulsion, hull forms and several otheraspects of design. Often, constructive solutions may be employed to improve environmentalconditions. For example the transmission of noise can be dampened by the insertion ofacoustic insulation; similarly, resilience techniques can be used to alleviate vibrationproblems.

There are a variety of tools such as Finite Element Analysis (FEA) which can assist the shipdesigner in ensuring that the limits specified by shipowners are not exceeded. These toolscan be used for:

• calculating noise limits• calculating vibration limits• calculating seakeeping qualities/quality of ride• analysing ventilation flows• performing model tests


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The use of ergonomic standards is also considered to be a major tool for improving theworking environment, particularly those which deal with environmental conditions (forexample: temperature, vibration, ventilation, etc.)

Another tool which is being used increasingly during design to assess both the impact ofenvironmental conditions as well as ergonomics of workplace is electronic models. Withincreasing frequency, electronic models including virtual reality and three dimensionalcomputer aided design are allowing early evaluation of various aspects of design.

• What rules are available for designing/building a fatigue-resistant ship?

There are a number of rules, regulations, standards and guidelines designed to enhanceenvironmental conditions, which can be used by the ship designer who wants to reduceseafarer fatigue. As this is a developing area, many of the measures referenced here areprovisional.

AccommodationCrew accommodation is usually located in a far from ideal position. It is built around theoperation of the ship, being placed directly over the engine room. This area does not give thebest quality of ride. In addition, it can be noisy. Acoustic insulation could be used to reducenoise in this area, but this needs to be considered in conjunction with measures to increasesleep disturbances which must be heard e.g. fire alarms.

Consideration could be given to ensuring that the accommodation area is restful aidingrecovery from fatigue e.g. in terms of decor, easy to clean. Some aspects of crewaccommodation e.g. minimum size, acoustic insulation, are subject to regulation e.g.International Labour Conventions.

1) Convention No. 92 concerning crew accommodation onboard ship (Revised 1949)

2) Convention No. 133 concerning crew accommodation onboard ship (supplementary provisions)

3) Convention No. 147 concerning minimum standards in merchant ships

4) Recommendation 155 of 1976, recommendation concerning the improvement of standards in merchant ships

Crew accommodation is also subject to National Standards e.g.

The Ministry of Maritime Affairs and Fisheries of Korea, Ship Safety Act : Crewaccommodation.

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Environmental conditions in crew-only spacesSome Classification Societies have (optional) Rules for some aspects of environmentalconditions e.g. noise and vibration, for certain ship types:

• passengers (e.g. cruise, Ro-Ro ferries),• high speed craft (e.g. Surface Effect Ships, wave piercing catamarans, hydrofoil)• yachts.

However, these Rules can form the basis for an assessment for any ship type. There is somevariance between the different schemes operated by different classification societies. At leastsome of these Rules include crew-only spaces as well as passenger spaces, where crew -onlyspaces are defined as:• accommodation spaces (e.g. cabins, corridors, offices, mess rooms, recreation rooms)• work spaces• navigation spaces

These Rules are contained in:

DNV ‘Comfort Class: Tentative Rules for Classification of Ships. Part 5, Chapter12. Det Norske Veritas. July 1995

LR ‘Provisional Rules for Passenger and Crew Accommodation Comfort.February 1999. Lloyd’s Register of Shipping

RINA ‘Rules for the Evaluation of Noise and Vibration Comfort on BoardPassenger Ships. January 1999. Registro Italiano Navale

Other Guidance on NoiseSeveral IMO Resolutions aim to protect the seafarer from unacceptable levels of noise, e.g.

IMO, Res. A.468(XII) (1981), ‘Code on noise levels onboard ship’ fixes permissiblemaximum limits of noise depending on the type of space. Other IMO Resolutions are:

IMO, Res. A343(IX) Agenda item 7(C): Recommendation on methods of measuring noiselevels at listening posts.

SOLAS Regulation II-1/36 Protection against noise.


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Relevant Standards on noise include:

ISO 2923 ‘Acoustics - Measurement of noise onboard vessels’

ISO 1999 ‘Acoustics - Determination of occupational noise exposure andestimation of noise-induced hearing impairment’

ISO 717/1 ‘Acoustics - Rating of sound insulation in buildings and of buildingelements:

- Part 1: Airborne sound insulation in buildings and interiorelements.

- Part 2: Impact sound insulation.

ISO 140 ‘Acoustics - Measurement of sound insulation in buildings and ofbuilding elements:

- Part 4: Field measurements of airborne sound insulation betweenrooms

- Part 5: Filed measurements of airborne impact insulation offloors

IEC Publication60651

‘Sound level meters’


‘Octave, half-octave and third octave band filters intended for theanalysis of sound and vibrations’

IEC Publication60804, andamendmentNo.1, 1989

‘Integrating-average in sound level meters’


‘Sound calibrators’

Standards for vibration include:

ISO 2041 ‘Vibration and shock - vocabulary’

ISO 2631 ‘Guide for the evaluation of human exposure to whole-body vibration’

ISO 4867 ‘Code for the measurements and reporting of shipboard vibration data’

ISO 4868 ‘Code for the measurement and reporting of local vibration data of shipstructures and equipment’

ISO 6954 ‘Mechanical vibration and shock - Guidelines for the overall evaluation ofvibration in merchant ships’

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ISO 6954 is currently the subject of revision. The new version will be more appropriate formeasuring the effect on vibration on humans.

National standards

1) VDI 2056, Criteria for assessing mechanical vibrations of machines, Verein DeutschenIngenieure, Oct., 1964

Classification Societies’ Guidelines for Noise and Vibration

In addition to the Comfort Notation described aboard, Classification Societies haveguidelines for noise and vibration limits onboard ship. For example:

NK Guide to ship noise control, 1982

KR Guide to control of ship vibration and noise, 2nd edition, 1997

IACS Unified Interpretation SC82 Protection against noise, 1993

BV Recommendation designed to limit the effects of vibrations onboard,Guidance note, NI38 A-RD3, 1979

VERITEC Vibration control in ships, 1985

LR Guidance notes on acceptable vibration levels and their measurement, 1990

Working spaces

Regulations and standards exist for dealing with improvements to working spaces e.g. bridgeand engine rooms layouts which may help in reducing fatigue. Some of the standards arestill under development. These measures include:

Bridge layout and navigation equipment

IMO ‘Ergonomic criteria for bridge equipment and layout. IMO CorrespondenceGroup reporting to NAV 45/6. June 1999

ISO 8468 ‘Ship’s bridge layout and associated equipment - Requirements andGuidelines’

ISO14612

‘Ship’s bridge layout and associated equipment - Requirements andGuidelines.’ NB. This will be renamed to: ‘Ship’s Bridge Layout andAssociated Equipment - Additional Requirements and Guidelines forCentralised Functions and Periodic One-Person Operation’


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IEC60945

‘Navigation equipment - general requirements’. This is backed by AssemblyResolution A.694

ASTM ‘Standard Practice for Human Engineering Design for Marine Systems,Equipment and Facilities’. 1995. American Society for Testing and Materials.Standard F1166-95a. West Chonshocken, PA

IACS ‘Requirements concerning NAVIGATION. Unified requirements for OneMan Bridge Operated (OMBO) Ships. International Association ofClassification Societies. 1992’

Engine Rooms

IMO ‘Draft MSC Circular, Guidelines for engine room layout, design andarrangement. (DE 40/WP.5)’

ISO ‘Shipbuilding—Engine-room ventilation in diesel-engined ships—Designrequirements and basis of calculations. ISO 8861

General Ergonomics3

ABS ‘Guidance Notes on the Application of Ergonomics to Marine Systems’. AmericanBureau of Shipping. January 1998

CEN ‘Safety of machinery—Ergonomic design principles Part 1: Terminology and generalprinciples. EN 614-1, (1994)’

CEN ‘Safety of machinery—Temperatures of touchable surfaces—Ergonomics data toestablish temperature limit values for hot surfaces. EN 563. (1994)’

ILO International data on anthropometry. Eds. Jurgens, H., Aune, I. and Pieper, U.Federal Institute for Occupational Safety and Health, Dartmund. Federal Republic ofGermany. 92-2-106449-2. Occupational Safety and Health Series: No. 65, (1990)’

ISO ‘Ergonomics principles in the design of work systems. ISO 6385. (Draft)

ISO ‘Ergonomics of the thermal environment—Assessment of the influence of thethermal environment using subjective judgement scales. ISO 10551

ISO ‘Ergonomics of the thermal environment—Principles and application of relevantInternational Standards. ISO 11399

3 Standards for equipment design have been included for completion purposes. Really, they are outside of the remitof the ship designer, being items bought-in by the shipyard. However, ship designers are concerned with theintegration of the equipment.

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• References

Donaldson, Lord (1994) Safer ships, cleaner seas. (Report of Lord Donaldson’s inquiry into theprevention of pollution from merchant shipping). HMSO, London.

IMO, MSC 68/INF.15 Human Errors on the Bridge - A study of Finnish Shipping.

IMO, MSC 69/INF.10.Seafarer fatigue: Wake up to the dangers.

IMO, MSC 69/INF.15 Fatigue - Groundings and collisions.

IMO, MSC 69/INF.16. Report on the investigation into near misses.

IMO, MSC 71/INF.8. Report on the investigation into near misses.

IMO, MSC/Circ.565. Fatigue as a Contributory Factor in Maritime Accidents.

Parker A.W., Hubiner L.M., Green S., Sargent L. and R. Boyd (1997) A survey of the health,stress and fatigue of Australian seafarers. Conducted on behalf of the Australian Maritime SafetyAuthority.

Sanquist T.F., Ravy M., Maloney A.L. and A.B. Carvalhais (1996) Fatigue and alertness inmerchant marine personnel: a field study of work and sleep patterns.

***

MSC 72/15

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ANNEX 8

Module 8

FATIGUE RELATED INFORMATION

To be developed.

__________

I:\MEPC\53\INF-7.doc For reasons of economy, this document is printed in a limited number. Delegates are kindly asked to bring their copies to meetings and not to request additional copies.


IMO

E

MARINE ENVIRONMENT PROTECTION COMMITTEE 53rd session Agenda item 19

MEPC 53/INF.7 15 April 2005 ENGLISH ONLY

FUTURE ROLE OF FORMAL SAFETY ASSESSMENT AND

HUMAN ELEMENT ISSUES

Fatigue/sleep induced accidents

Submitted by Sweden

SUMMARY

Executive summary:

This document reports on a study performed by the Swedish Maritime Administration (SMA) concerning collisions and groundings, in which fatigue/sleep has been shown to be of great or decisive significance. The study may be of interest from a human element point of view. It implies an inherent lack of safety in two-navigator ships trading on short voyages

Action to be taken:

Paragraph 26

Related documents:

MSC/Circ.1014

Introduction 1 This document reports on a study performed by the Swedish Maritime Administration (SMA) concerning collisions and groundings in which fatigue/sleep was supposed to be of significance. 2 In recent years interest in the human element or factor in accidents at sea has grown. SMA has taken a special interest in lack of sleep and fatigue suffered by crew members. It is well known in the seafaring world that accidents have happened as a result of lack of sleep or fatigue. Much has been said or written about fatigue and lack of sleep on board ships but often in rather general terms. The study which SMA undertook was to begin by looking at the statistical data on collisions and groundings available and then look into the accident reports to see if patterns could be found. Background 3 When investigating accidents and collecting related data for statistical purposes the importance of system oriented, organizational and human factor aspects and data have increased. SMA has found that, in 2001, 87% of the groundings in Swedish waters were attributable to the human factor. It is also evident to SMA that a large percentage of collisions in Swedish waters are attributable to the human factor. SMA undertook its study by first looking at the statistical data available on collisions and groundings and then looked into certain accident investigation reports to see whether patterns could be found or not.

MEPC 53/INF.7 - 2 -

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Scope of the study 4 The study comprises reports and statistical material, available to SMA on reported collisions and groundings, which took place 1997-2002. The accidents were regarded to have � to a high or very high probability � been caused by fatigue or sleep. The data used comprises ships flying the Swedish flag, irrespective of waters, and foreign ships in Swedish waters. The total number was 32 ships. Results 5 In the study performed the results were compiled in some 40 statistical tables. In this information document 12 tables, which are deemed to be of the greatest interest and importance, are shown at annex. 6 Going through the tables, two of them can be found to rather definitely indicate sleep or fatigue. The tables are 7 and 8 which show the time of day (24 hours) of the accident and the geographical area and time of day of the accident respectively. It should be noted that slightly more than half (53%) of the accidents occurred between 0400 and 0800 and 84% between 2300 and 0800 (table 20). 7 Table 11 shows the position on board of the OOW and the watch keeping-system used on board the ships. That table might, if elaborated, have shown a pattern. There are, however, too many cases in which it is not known which watch-keeping system was normally used on-board or which watch-keeping system was in fact applied at the time of the accident, alternatively there was no specific watch-keeping system applied. 8 In 11 of the 32 cases it is not known which watch-keeping system was applied. Half of the 32 cases concern, however, ships with 2-watch system (table 11). Fishing vessels form a group of ships, which have to great extent used working schedules made up at the spur of the moment, i.e. the crews have not worked according to a fixed system. 9 The cases represent accidents of which 66% involved foreign ships. Swedish ships are represented by 11 ships, Norway five, Germany four and Finland three. In addition, ships of eight other nationalities are represented. As regards the types of ships 19 are bulk carriers (includes general cargo ships), eight fishing vessels, two tankers, one passenger ship and two �other kinds� of ships (table 5). 10 According to table 8 there were eight accidents in the rather narrow Sound between Denmark and Sweden. As is shown in table 9 they all involved bulk carriers. 11 In no case a special helmsman was employed. A look-out is said to have been set in 4 cases but they were at the time of the accidents busy with other tasks. Comments 12 It must be stressed that the body of statistical data is small and there may be other uncertainties in the data. For this reason the information in the tables should be used with some wariness. 13 One obvious observation that can be made is the times when the accidents have occurred. It cannot be mere coincidence that they take place at night, at dawn or in darkness. Earlier basic research into and studies of land-based activities indicate a good correspondence. People simply wish, biologically, to sleep �at night� but some types of work, e.g. work as an OOW, demand that people work at night.

- 3 - MEPC 53/INF.7


14 The watch-keeping system most frequently used in the ships involved in the accidents, which are shown in the tables, is the so-called 2-watch system, which is known to be a demanding and fatigue inducing system. This may force the OOWs to work under more difficult circumstances than would be the case ashore. The average age of the OOWs in the accidents studied has also been comparatively high. 15 In addition to the difficulties presented in the preceding paragraph, the accidents have occurred greatly when visibility has been good and the sea smooth or moderate. Since it has, in most cases, been dark outside it is also dark inside the wheelhouse. The automatic steering has been in operation. The prevailing traffic situations are not known but can be assumed not to have been demanding. All this does not create a situation, in which one is encouraged to stay awake. There are many factors, which contribute to people falling asleep. 16 A great contributor to the accidents must also in many cases be the often demanding or tiresome work during the days and weeks before the accident. It is known that in ships applying a 2-watch system, especially the ships with only two navigators on-board, have great difficulties in applying regulations concerning hours of rest. This in combination with an under-stimulating task on the bridge at night creates a risk situation. 17 The majority of ships involved in the accidents are rather small, including Swedish flagged, older fishing vessels. This is not surprising. The ships are mainly used in near coastal and sheltered waters and make frequent calls in port. They very often employ a 2-watch system. 18 There are remarkably few passenger ships involved in accidents, at least when looking at the number of passenger ships flying the Swedish flag. A plausible reason for this, as concerns Swedish ships, is that a great number of passenger ships are small and mainly operated in daylight. The large passenger ships have 3-watch systems, larger manning on the bridge, in most cases a well established timetable and a different kind of operation, which taken together offer far better possibilities for rest. 19 The total number of Swedish fishing vessels is comparatively large. Hence it could be assumed that fishing vessels should have been involved in a larger number of accidents than they have in fact been involved in. Few Swedish fishing vessels fish, however, outside Swedish waters. Most of them fish in near coastal waters and most of them fish for no more than a day at a time, which may explain the relative absence of fishing vessels in the tables. 20 The Swedish ships, called �other ships� in table 1, consist of very diverse ships and probably do not work at night or do shift work to only a small extent. 21 It should be noted that the relation between the number of ships� movements and the number of groundings and collisions in the areas of the accidents is not reported. This is due to the fact that relevant information on ships� movements has been impossible to obtain. 22 Finally, there is reason to reflect on the large number of groundings in the Sound between Denmark and Sweden. At its narrowest point it is some two nautical miles wide. Three shipping companies trade with ferries between Elsinore and Helsingborg on very tight schedules and some 40,000 ships sail through the Sound every year. This would make for a situation, in which one would not be likely to fall asleep but on the other hand, if a navigator falls asleep the effect is fairly immediate; he goes aground rather quickly. In addition, the distances between the points where course has to be changed are short but not � as must be the case � short enough to prevent people from falling asleep.

MEPC 53/INF.7 - 4 -


23 A close study of the eight groundings in the Sound shows that when four out of the eight ships passed Elsinore-Helsingborg, the OOWs were probably asleep/fatigued. In one case the ship was southbound and ran into the south pier of the port of Helsingborg. In the remaining three cases, the ships were northbound but missed a requisite, in accordance with well established practice, change of course to port just north of the ferry route. 24 There is reason to seriously reflect on this situation. In the last six years seven ships have run aground in the Sound in sleep/fatigue related accidents. How many more ships have gone through the Sound with the OOW drowsy, exhausted half asleep or asleep without having run aground or been involved in a collision? Considering the very dense traffic this is a very serious safety problem. 25 In conclusion it can be claimed that sleep/fatigue in connection with duty on the bridge is with very great probability more frequent than one has had reason to believe. The number of unrecorded cases is estimated to be large. Sweden will continue to study the impact of 2-watch systems and especially operational conditions on-board ships employing only two navigators. There is probably an argument to be made that this system in many cases is an unsafe practice. Action requested of the Committee 26 The Committee is invited to note the information provided in this document and refer it to discussion in the Working Group on the Human Element.

***

MEPC 53/INF.7


ANNEX

Table 1: Number of Swedish registered ships in the period 1997�2002

Ship type

Passenger ship

Tanker Bulk carriers

Fishing vessel

Other ships

Total

Year 1997

1284 123 222 2267 2887 6783

1998 1300 113 190 2113 1655 5371

1999 1383 113 189 1990 1889 5564

2000 1430 115 181 1954 2000 5680

2001 1511 112 179 1851 2020 5673

2002 1584 111 185 1822 2114 5816

Table 2: Number of reported groundings, collisions with ships and collisions with

other objects by Swedish ships per ship type in the period 1997�2002

Ship type 1997 1998 1999 2000 2001 2002 Total

Passenger ship 60 43 43 35 35 35 251

Tanker 9 9 6 9 6 7 46

Bulk carrier 25 17 11 10 11 12 86

Fishing vessel 16 11 11 10 11 12 71

Other ships 14 6 13 8 14 11 66

Total 124 86 84 72 77 77 520

Remark. The total number of accidents decreased substantially (30%) from 1997 to 1998. For tankers the figures are not as remarkable. The reasons for the changes have not been investigated in this study. Compare the changes in the number of Swedish registered ships in the same period. According to Table 1 the number of Swedish registered ships was reduced by 21% in the same period.

MEPC 53/INF.7 ANNEX Page 2


Table 3: Number of reported groundings, collisions with ships and collisions with other objects by foreign ships per ship type in the period 1997�2002

Ship type 1997 1998 1999 2000 2001 2002 Total

Passenger ship 8 3 3 3 2 2 21

Tanker 8 6 6 1 2 2 25

Bulk carrier 36 25 32 33 27 24 177

Fishing vessel 7 3 2 8 4 7 31

Other ships 4 6 4 4 2 9 29

Total 63 43 47 49 37 44 283

Remark. The total number of accidents decreased significantly (31%) from 1997 to 1998.

Table 4: Number of sleep/fatigue related collisions/groundings per ship type and gross tonnage, Swedish and foreign

Gross tonnage

-999

1000-1499

1500-1999

2000-2499

2500-2999

3000-3499

3500-3999

4000- Un-known

Total

Passenger ships

- - - - - - - 1 - 1

Tankers 1 - - - - - 1 - - 2

Bulk carriers

- 4 5 2 3 3 2 - - 19

Fishing vessels

8 - - - - - - - - 8

Other ships

- - 1 - - - - - 1 2

Total 9 4 6 2 3 3 3 1 1 32

MEPC 53/INF.7 ANNEX

Page 3


Table 5: Number of sleep/fatigue related collisions/groundings per ship type and nationality

Ship�s type Passenger

ship Tanker Bulk

carrier Fishing vessel

Other ships

Total

Sweden 1 2 2 5 1 11

Norway - - 5 - - 5

Germany - - 4 - - 4

Finland - - 1 1 1 3

Russia - - 2 - - 2

Denmark - - - 1 - 1

Estonia - - - 1 - 1

Netherlands - - 1 - - 1

Great Britain

- - 1 - - 1

Gibraltar - - 1 - - 1

Antigua - - 1 - - 1

St Vincent - - 1 - - 1

Total 1 2 19 8 2 32

Table 6: Number of sleep/fatigue related collisions/groundings per ship type and year of accident

Year 1997 1998 1999 2000 2001 2002 Total

Passenger ship 1 - - - - - 1

Tanker - - 1 - 1 - 2

Bulk carrier 4 3 1 3 3 5 19

Fishing vessel 1 1 - 2 2 2 8

Other ships - 1 - - - 1 2

Total 6 5 2 5 6 8 32



Table 7: Number of sleep/fatigue relaged collisions/groundings per point of time and person responsible for the bridge duty at the accident

Point of

time Master Deck officer OOW Total

00-01 1 - - 1

01-02 2 - - 2

02-03 1 1 - 2

03-04 2 - - 2

04-05 1 2 - 3

05-06 - 5 1 6

06-07 1 2 2 5

07-08 2 1 - 3

08-09 - 1 - 1

09-10 - - - -

10-11 - - 1 1

11-12 - - - -

12-13 - - - -

13-14 - - - -

14-15 1 - - 1

15-16 - - - -

16-17 - - - -

17-18 - - - -

18-19 2 - - 2

19-20 - - - -

20-21 - - - -

21-22 - - - -

22-23 - - - -

23-24 2 1 - 3

Total 15 13 4 32

MEPC 53/INF.7 ANNEX

Page 5


Table 8: Number of sleep/fatigue related collisions/groundings per geographic area and point of time of the accident.

Hour 00-04 04-08 08-12 12-16 16-20 20-24 Total

The northern part of the Gulf of Bothnia

1 1 2

Stockholm 1 2 1 4

Bråviken 2 2

Gotland 2 1 3

Kalmar Sound 1 1

The Hanö Bay 1 5 2 8

The Sound 1 6 1 8

The Great and Little Belt

1 1

Kattegatt 1 1 2

Skagerrak 1 1

Total 7 17 2 2 1 3 32

Table 9: Compilation of certain, specific data on ships damaged in The Sound

�Ship No.� �2� �3� �11� �14� �19� �27� �32� Year of accident

2002 2002 2001 2000 1997 1997 1997

Month Aug. April March July Dec. May June Day 31 15 15 24 08 12 14 Weekday Sat Mon Thu Mon Mon Mon Sat Hour 0720 2345 0610 0555 0615 0530 0215 Ship type Bulk Bulk Bulk Bulk Bulk Bulk Bulk Nationality Russian Swedish Gibraltar Norw. German Finnish St.

Vincent

Port of departure

Klaipeda Oxelösund Ventspils Karls-hamn

Stettin St.Peters-burg

Horsens

Destination England Fredricia Karlstad Vejle Seaham Felixtove Karls-hamn

Distance from port of depart. to location of grounding

332

326

358

150

183 711 165



Remark. Ship �No. 24� is not included in this compilation due to the specific limitation of The Sound in this table.

Table 10: Number of sleep/fatigue related collisions/groundings per size of the ship�s crew

Size of the crew (number of persons)

1-2 3-5 6-8 9-11 12- Unknown Total

Number 3 9 8 3 3 6 32

Table 11: Number of sleep/fatigue related collisions/groundings related to the

position of the OOW onboard and the ship�s watch keeping system

2-watch 3-watch Unknown Total

Master 9 2 4 15

Deck officer 7 3 3 13

OOW - - 4 4

Total 16 5 11 32

Table 12: Number of sleep/fatigue related collisions/groundings related to the

position of the OOW and the year of the accident

Master Deck officer

OOW Total

1997 1 5 - 6

1998 4 - 1 5

1999 2 1 - 3

2000 2 2 - 4

2001 4 - 2 6

2002 2 5 1 8

Total 15 13 4 32

__________


38