Elemento humano

La seguridad y protección de la vida humana en el mar, la protección del medio marino y más del 90 % del comercio mundial depende de la profesionalidad y competencia de la gente de mar.

El Convenio internacional sobre normas de formación, titulación y guardia para la gente de mar (Convenio de formación) de la OMI, 1978, fue el primer convenio acordado a nivel internacional para abordar la cuestión de las normas mínimas de competencia para la gente de mar. En 1995, el Convenio de formación fue revisado y actualizado completamente con el objeto de precisar con mayor claridad el nivel de competencia requerido y de prever mecanismos eficaces para la aplicación de sus disposiciones.

En enero de 2006 se dio comienzo a una revisión integral del Convenio y Código de formación, que concluyó en una Conferencia de las Partes sobre el Convenio de formación, que se celebró en Manila, Filipinas, entre el 21 y el 25 junio de 2010, en cuyo marco se aprobó un número considerable de enmiendas al Convenio y al Código de formación. Estas enmiendas, conocidas como las Enmiendas de Manila, proporcionan normas más estrictas para la formación de la gente de mar. Las Enmiendas de Manila entraron en vigor el 1 de enero de 2012.

En 1997, la OMI adoptó una resolución en la que se expresan sus ideas, principios y objetivos con respecto al factor humano. El factor humano es una cuestión compleja y polifacética que afecta a la seguridad marítima, la protección marítima y la protección del medio marino, comprendiendo todo el espectro de actividades humanas llevadas a cabo por las tripulaciones de los buques, los responsables de la gestión en tierra, los organismos reguladores y otras partes interesadas. Todos ellos han de cooperar para resolver eficazmente los problemas relacionados con el factor humano.

A partir del decenio de 1980, la labor de la OMI se ha venido centrando cada vez más en las personas que intervienen en el transporte marítimo. En 1989 la OMI adoptó las "Directrices sobre gestión para la seguridad operacional del buque y la prevención de la contaminación" un anuncio de lo que sería el Código internacional de gestión de la seguridad (Código IGS), que pasó a tener carácter obligatorio en virtud del Convenio internacional para la seguridad de la vida humana en el mar, 1974 (SOLAS).

El Código IGS tiene por objeto mejorar la seguridad del transporte marítimo internacional y reducir la contaminación ocasionada por los buques, al influir en el modo de gestionar y explotar los buques. El Código IGS establece una norma internacional para la gestión y las operaciones sin riesgos de los buques y la implantación de un sistema de gestión de la seguridad (SGS).

La implantación efectiva del Código IGS debería suponer un reemplazo de la cultura del cumplimiento "irreflexivo" de normas externas por una cultura de autorregulación "reflexiva" de la seguridad, vale decir, el desarrollo de una "cultura de la seguridad". La cultura de la seguridad implica avanzar hacia una cultura de autorregulación, en la que todos los individuos ‑sin excepción‑ se sientan responsables de las medidas adoptadas para mejorar la seguridad y el funcionamiento del sistema. La aplicación del Código IGS debería apoyar y promover el desarrollo de una cultura de la seguridad en el transporte marítimo.

En 1995 la Asamblea de la OMI aprobó, mediante la resolución A.788(19), las Directrices para la implantación del Código internacional de gestión de la seguridad (Código IGS) por las Administraciones. Estas Directrices fueron objeto de revisión y se aprobaron en 2001 mediante la resolución A.913(22). En 2009 las Directrices fueron revisadas y adoptadas nuevamente, en virtud de la resolución A.1022(26), entrando en vigor el 1 de julio de 2010.

La seguridad y protección de la vida en el mar del personal de los buques pesqueros también son motivo de preocupación de la OMI, que reconoce la necesidad de dar una respuesta a la crisis que atraviesa el sector pesquero en materia de seguridad y cuenta con una serie de instrumentos que se ocupan del tema. Uno de esos instrumentos es el Convenio de normas de formación, titulación y guardia para el personal de los buques pesqueros (Convenio de formación para pescadores), que fue aprobado por la OMI en 1995, y se prevé que propiciará importantes beneficios y ventajas a la industria pesquera y que mejorará el grado de seguridad en las flotas de buques pesqueros.

El Convenio se aplica a las tripulaciones de los buques de navegación marítima, que en general tienen 24 metros de eslora o más. Inicialmente se pensó que los requisitos exigibles a los tripulantes de buques pesqueros fueran elaborados en forma de protocolo del Convenio de formación, pero después de un estudio a fondo se decidió que sería mejor adoptar un convenio totalmente independiente. El Convenio de formación para pescadores entró en vigor el 29 de septiembre de 2012.

Gestión de la seguridad

Desarrollo del Código IGS

Los errores humanos fueron la causa manifiesta de una serie de accidentes muy graves ocurridos a finales de los años 80, a los que también contribuyó el factor de los fallos en la gestión. En su investigación sobre la pérdida del Herald of free Enterprise, Lord Justice Sheen describió los fallos en la gestión como "la enfermedad de la dejadez".

En el 16º periodo de sesiones de la Asamblea celebrada en octubre de 1989, la OMI adoptó la resolución A.647(16): Directrices de la OMI sobre gestión para la seguridad operacional del buque y la prevención de la contaminación. El objetivo era proporcionar, a los responsables de la explotación de los buques, un marco para el adecuado desarrollo, implantación y evaluación de la gestión de la seguridad y la prevención de la contaminación, de conformidad con las buenas prácticas.

La finalidad era, por tanto, la de garantizar la seguridad, prevenir las lesiones personales o pérdida de vidas, y evitar los daños al medio ambiente- en particular, al medio marino y a la propiedad-. Las directrices estaban basadas en principios y objetivos generales para así promover la evolución de la buena gestión y prácticas operacionales en toda la industria. Asimismo, reconocían la importancia de los instrumentos internacionales existentes como el medio más importante para prevenir victimas marítimas y la contaminación del mar, e incluyó apartados sobre la gestión y la importancia de una política sobre seguridad y medio ambiente.

Tras algo de experiencia en el uso de las Directrices, en 1993 la OMI adoptó el Código internacional de gestión de la seguridad operacional del buque y la prevención de la contaminación (el Código IGS). En 1998, el Código IGS pasó a ser obligatorio.

The human element is recognized as a key element of the safety of life on board ships and a contributing factor to most of the casualties in the shipping sector. Maritime safety and safety of navigation can be enhanced by strengthening the focus on the human element.

The wide-ranging scope and importance of the human element makes it a shared responsibility of IMO, as the regulatory body; Member States, as implementers; companies, as providers of the necessary resources, safety policies and safety culture; and seafarers, as the individuals who physically operate ships.

The safety and security of life at sea, protection of the marine environment and over 80% of the world's trade depends on the professionalism and competence of seafarers.

The IMO's International Convention on Standards of Training, Certification and Watchkeeping for Seafarers (STCW), 1978 was the first internationally-agreed Convention to address the issue of minimum standards of competence for seafarers. In 1995 the STCW Convention was completely revised and updated to clarify the standards of competence required and provide effective mechanisms for enforcement of its provisions.

A comprehensive review of the STCW Convention and the STCW Code commenced in January 2006, and culminated in a Conference of Parties to the STCW Convention which was held in Manila, Philippines from 21 to 25 June 2010, that adopted a significant number of amendments to the STCW Convention and STCW Code. These amendments, now referred to as the Manila amendments, which provide enhanced standards of training for seafarers, entered into force on 1 January 2012.

In 1997, IMO adopted a resolution setting out its vision, principles and goals for the human element. The human element is a complex multi-dimensional issue that affects maritime safety, security and marine environmental protection involving the entire spectrum of human activities performed by ships' crews, shore-based management, regulatory bodies and others. All need to co-operate to address human element issues effectively.

Since the 1980s IMO has increasingly addressed the people involved in shipping in its work. In 1989, IMO adopted resolution A.647(16) on Guidelines on management for the safe operation of ships and for pollution prevention - the forerunner of what became the International Safety Management (ISM) Code, which was made mandatory through the International Convention for the Safety of Life at Sea, 1974 (SOLAS).

The ISM Code is intended to improve the safety of international shipping and to reduce pollution from ships by impacting on the way ships are managed and operated by the shipping companies. The ISM Code establishes an international standard for the safe management and operation of ships and for the implementation of a safety management system (SMS).

Effective implementation of the ISM Code should lead to a move away from a culture of "unthinking" compliance with external rules towards a culture of "thinking" self-regulation of safety - the development of a “safety culture”, with every individual - from the top to the bottom - feeling responsible for actions taken to improve safety and performance. Application of the ISM Code should support and encourage the development of a safety culture in shipping.

In 1995, IMO adopted the Guidelines on implementation of the International Safety Management (ISM) Code by Administrations by resolution A.788(19). Revised guidelines were adopted by resolution A.913(22) in 2001, and subsequently by resolution A.1022(26) in 2009, which were replaced by a further revision adopted by resolution A.1071(28) in 2013. These revised guidelines have been revoked by resolution A.1118(30) with effect from 6 December 2017.

The safety and security of life at sea for fishing vessel personnel are also a matter of concern of IMO, which recognises the need for a response to the safety crisis of the fishing industry and has a number of instruments addressing the issue. One of those instruments is the International Convention on Standards of Training, Certification and Watchkeeping for Fishing Vessel Personnel (STCW-F), 1995, which was adopted by IMO in 1995, and was intended to bring considerable benefits and advantages to the fishing industry and enhancing the standard of safety in the fishing vessel fleets.

The 1995 STCW-F Convention apply to crews of sea going fishing vessels, generally of 24 meters in length and above and/or powered by main propulsion machinery of 750 kW propulsion power or more. The Convention is the first attempt to make standards of safety for crews of fishing vessels mandatory internationally and entered into force on 29 September 2012.

The 1995 STCW-F Convention is currently being comprehensively reviewed by the Sub-Committee on Human Element, Training and Watchkeeping in order to align the standards of the Convention with the current state of the fishing industry, and to make available an effective instrument, which will contribute to addressing the significant challenges of this sector.

Ongoing work and future perspective of the human element

The human element is currently included within the overarching principles of the Strategic Plan for the Organization for the six-year period 2018 to 2023 (resolution A.1110(30)), which provides that the human element will be taken into account in the review, development and implementation of new and existing requirements, including skills, education and training, and human capabilities, limitations and needs; and that IMO, in all aspects of its work, will take into account the needs and well-being of seafarers.

In addition to the already heavy human element-related workload emanating essentially from the HTW Sub-Committee and its terms of reference and associated regulatory instruments, such as the assessment of information communicated by STCW Parties; implementation of technical cooperation activities (in the context of environmental protection, facilitation, safety and security) and the coordination of the model courses programme; the following is a non-exhaustive description of relevant human element-related actions and initiatives currently being undertaken or planned to be undertaken by the Organization:

1. comprehensive review of the STCW-F Convention;

2. analysis of implementation issues of the 1978 STCW Convention, as amended, with a view to possibly initiating a comprehensive review of the Convention in the near future;

3. addressing the human element-related work emanating from the regulatory scoping exercise on Maritime Autonomous Surface Ships (MASS);

4. development of provisions for fair treatment of seafarers detained on suspicion of committing a crime; and guidelines for port State authorities to deal with abandonment cases;

5. development of training provisions for seafarers related to the BWM Convention;

6. development of harmonized electronic messages to encourage the automatic exchange of information between ship and shore and the integration of the automatic exchange of information in maritime single window systems;

7. actions emanating from the action plan to address marine plastic litter from ships; and

8. several interagency partnerships initiatives with various UN Specialized Agencies, mainly ILO.

At its 20th session in November 1997, the IMO Assembly adopted resolution A.850(20) on Human element vision, principles and goals for the Organization.

This resolution recalled both:

1. Resolution A.680(17), which invited Governments to encourage those responsible for the management and operation of ships to develop, implement and assess safety and pollution prevention management systems; and

2. Resolution A.772(18), concerning fatigue factors in manning and safety, which aims 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. This resolution acknowledged the need for increased focus on human-related activities in the safe operation of ships, and the need to achieve and maintain high standards of safety and environmental protection for the purpose of significantly reducing maritime casualties.

Resolution A.850(20) was updated by resolution A.947(23) adopted in 2003.

Vision

To significantly enhance maritime safety, security and the quality of the marine environment by addressing human element issues to improve performance.

Principles

1. 1. The human element is a complex multi-dimensional issue that affects maritime safety, security and marine environmental protection. It involves the entire spectrum of human activities performed by ships' crews, shore-based management, regulatory bodies, recognized organizations, shipyards, legislators, and other relevant parties, all of whom need to cooperate to address human element issues effectively.

   2. The Organization, when developing regulations, should honour the seafarer by seeking and respecting the opinions of those that do the work at sea.

   3. Effective remedial action following maritime casualties requires a sound understanding of human element involvement in accident causation. This is gained by a thorough investigation and systematic analysis of casualties for contributory factors and the causal chain of events.

   4. In the process of developing regulations, it should be recognized that adequate safeguards must be in place to ensure that a single human or organizational error will not cause an accident through the application of these regulations.

   5. Rules and regulations which address seafarers directly should be simple, clear and comprehensive.

   6. Crew endurance, defined as the ability to maintain performance within safety limits, is a function of many complex and interacting variables including individual capabilities, management policies, cultural factors, experience, training, job skills and work environment;

   7. Dissemination of information through effective communication is essential to sound management and operational decisions; and

   8. Consideration of human element matters should aim at decreasing the possibility of human and organizational error as far as possible.

Goals

1. To have in place a structured approach for the proper consideration of human element issues for use in the development of regulations and guidelines by all committees and sub-committees;

2. To conduct a comprehensive review of selected existing IMO instruments from the human element perspective;

3. To promote and communicate, through human element principles, a maritime safety culture, security consciousness and heightened marine environment awareness;

4. To provide a framework to encourage the development of non-regulatory solutions and their assessment, on the basis of human element principles;

5. To have in place a system for identifying and disseminating maritime interests studies, research and other relevant information on the human element, including findings of marine and non-marine incident investigations;

6. To provide educational material for seafarers designed to increase their knowledge and awareness of the impact of human element issues on safe ship operations, and help them do the right thing; and

7. To provide a framework for understanding the very complex system of interrelated human element factors, incorporating operational objectives, personal endurance concerns, organizational policies and practices, and environmental factors, in order to facilitate the identification and management of risk factors in a holistic and systematic manner.

A number of very serious accidents which occurred during the late 1980's, were manifestly caused by human errors, with management faults also identified as contributing factors.

Lord Justice Sheen in his inquiry into the loss of the Herald of Free Enterprise famously described the management failures as "the disease of sloppiness".

In 1987, the IMO Assembly adopted resolution A.596(15), which called upon the Maritime Safety Committee to develop guidelines concerning shipboard and shore-based management to ensure the safe operation of ro-ro passenger ships.

The ISM Code evolved through the development of the Guidelines on management for the safe operation of ships and for pollution prevention (resolution A.647(17)), adopted in 1989 by the IMO Assembly, and the Revised Guidelines, adopted two years later as resolution A.680(17), to its current form, the International Management Code for the Safe Operation of Ships and for Pollution Prevention (International Safety Management (ISM) Code), which was adopted in 1993 as resolution A.741(18).

With the entry into force, on 1 July 1998, of the 1994 amendments to the SOLAS Convention, which introduced a new chapter IX into the Convention, the ISM Code was made mandatory. Chapter IX was amended by resolution MSC.99(73), which entered into force on 1 July 2002, and by resolution MSC.194(80), which entered into force on 1 January 2009.

The Code was amended in December was amended in December 2000 by resolution MSC.104(73), and these amendments entered into force on 1 July 2002. It was further amended in December 2004 by resolution MSC.179(79), and these amendments entered into force on 1 July 2006. It was further amended in May 2005 by resolution MSC.195(80), and these amendments entered into force on 1 January 2009. The ISM Code was also amended in December 2008 by resolution MSC.273(85), and the amendments entered into force on 1 July 2010. The Code was further amended in June 2013 by resolution MSC.353(92), with the amendments entering into force on 1 January 2015.

In 1995, the IMO Assembly, recognizing the need for uniform implementation of the ISM Code and there might be a need for Administration to enter into agreements in respect of the issuance of certificates by other Administration in accordance with SOLAS chapter IX and the ISM Code, adopted the Guidelines on implementation of the International Safety Management (ISM) Code by Administrations (resolution A.788(19)). Revised Guidelines were adopted by resolution A.913(22) in November 2001, and subsequently by resolution A.1022(26) in December 2009. These were replaced with Revised Guidelines on the implementation of the International Safety Management (ISM) Code by Administrations (resolution A.1071(28)) adopted in 2013, which in turn have been revoked by the new Revised Guidelines, as adopted by resolution A.1118(30), with effect from 6 December 2017.

The International Convention on Standards of Training, Certification and Watchkeeping for Seafarers (STCW), 1978, as amended, sets the standards of competence for seafarers internationally.

Amongst its provisions is a requirement for Parties to the Convention to communicate information to IMO on the measures adopted to implement the Convention nationally. That information is subject to scrutiny to ensure that the Convention is being given 'full and complete effect' and, if this is so, the Party features on the "List of confirmed STCW Parties" and "Information related to Reports of Independent Evaluation".

One key STCW Convention provision requires Parties to provide information to allow others to check the validity and authenticity of seafarers' certificates of competency. This is important as unqualified seafarers holding fraudulent certificates of competency are a clear danger to themselves, others on board and the marine environment.

In order to assist with uniform interpretation of the STCW Convention, IMO has agreed a number of clarifications of the Convention's provisions and has also developed further guidance to assist Parties to meet their Convention obligations.

For maritime training institutes worldwide, IMO has also developed a series of model courses which provide suggested detailed teaching syllabus and learning objectives to assist instructors develop training programmes to meet the STCW Convention standards for seafarers.

For those working in the fishing industry, IMO has developed a separate Convention. The International Convention on Standards of Training, Certification and Watchkeeping for Fishing Vessel Personnel (STCW-F), 1995. This Convention sets the standards for certification of fishing vessel personnel on vessels of greater than 24 metres in length and more than 750kW engine power. Guidance on the training requirements has been developed by IMO, in conjunction with FAO and ILO.