1、 Guidance Notes on Management of Change for the Marine and Offshore Industries GUIDANCE NOTES ON MANAGEMENT OF CHANGE FOR THE MARINE AND OFFSHORE INDUSTRIES FEBRUARY 2013 American Bureau of Shipping Incorporated by Act of Legislature of the State of New York 1862 Copyright 2013 American Bureau of Sh
2、ipping ABS Plaza 16855 Northchase Drive Houston, TX 77060 USA ii ABSGUIDANCE NOTES ON MANAGEMENT OF CHANGE FOR THE MARINE AND OFFSHORE INDUSTRIES .2013 Foreword Foreword Change is inevitable within any type of business. It arises from the need to respond and adapt to varying conditions. Modification
3、s may be required to the equipment, operational policies, and organizational structure or personnel. Whenever a change is made, the potential consequences of that change should be assessed before implementation. History has illustrated the potential negative consequences associated with uncontrolled
4、 change. If a change is technically inappropriate, poorly executed, its risks poorly understood, or management fails to ensure communication to key personnel, accidents or other undesired consequences can result. Thus, a formal and effective management of change program plays a critical role in prev
5、enting accidents and losses. A management of change program is one of the most challenging aspects of a safety management system to implement successfully. It requires organizational support, assignment of necessary resources, and a clear, defined process. ABS offers these Guidance Notes to the mari
6、time and offshore industries as a tool to aid in the development and implementation of an effective management of change strategy to optimize existing safety and risk management efforts. These Guidance Notes become effective on the first day of the month of publication. Users are advised to check pe
7、riodically on the ABS website www.eagle.org to verify that this version of these Guidance Notes is the most current. We welcome your feedback. Comments or suggestions can be sent electronically by email to rsdeagle.org. ABSGUIDANCE NOTES ON MANAGEMENT OF CHANGE FOR THE MARINE AND OFFSHORE INDUSTRIES
8、 .2013 iii Table of Contents GUIDANCE NOTES ON MANAGEMENT OF CHANGE FOR THE MARINE AND OFFSHORE INDUSTRIES CONTENTS SECTION 1 Introduction 1 1 General . 1 3 Why Manage Change? . 1 SECTION 2 Recognition of a Change . 2 1 Program Scope . 2 1.1 Activities and Systems within the MoC Program Scope 2 1.3
9、Life-Cycle Phases . 3 1.5 Types of Changes . 4 1.7 Changes not Subjected to the MoC Program 5 3 Recognition of a Change 7 TABLE 1 Critical Activities/Systems Typically Governed by an MoC Program 2 TABLE 2 Factors for In-Kind Determination . 8 TABLE 3 MoC Decision Checklist for Typical Marine and Off
10、shore Changes 9 SECTION 3 Management of Change Process 10 1 Terminology 10 3 MOC Process 11 5 Initial Review (Step 1) . 13 5.1 Justification and Coverage 13 5.3 Preliminary Impact Assessment 13 5.5 Implementation Plan 14 7 Senior Review (Step 2) . 14 9 Detailed Risk Assessment (Step 3) 14 11 Approva
11、l (Step 4) 16 13 Implementation (Step 5) 16 13.1 Documentation 16 13.3 Communication and Training . 16 13.5 Execution . 17 15 Verification and Closeout (Step 6) 17 15.1 Closeout 17 iv ABSGUIDANCE NOTES ON MANAGEMENT OF CHANGE FOR THE MARINE AND OFFSHORE INDUSTRIES .2013 17 Special Circumstances: Tem
12、porary and Emergency Changes 19 17.1 Temporary Changes 19 17.3 Emergency Changes . 22 FIGURE 1 MoC Process Flowchart 12 FIGURE 2 MoC Process Summary 18 FIGURE 3 MoC Process for Temporary Changes . 21 FIGURE 4 MoC Process for Emergency Changes . 22 SECTION 4 MOC Program Implementation 23 1 MOC Progra
13、m Implementation . 23 3 Roles and Responsibilities 23 3.1 Initiator . 23 3.3 Change Owner 23 3.5 Approver 24 3.7 Onboard MoC Coordinator 24 3.9 Shore-based MoC Coordinator and Other Shore-based Support 25 5 Organizational Preparation . 26 5.1 Culture . 26 5.3 Management Support 27 5.5 Resources . 27
14、 7 MoC Program Manual . 28 9 MoC Form . 28 11 MoC Log 28 11.1 Handover of MoC Responsibilities . 29 13 Pilot Roll-Out . 29 15 Training in MoC . 30 FIGURE 1 Roles and Responsibilities in the MoC Process . 26 SECTION 5 MOC Program Monitoring 31 1 MOC Program Monitoring . 31 3 Performance Indicators .
15、32 5 Recordkeeping 32 7 Continual Improvement . 33 9 Suggested Reading 33 APPENDIX 1 Preliminary Impact Assessment . 34 1 Tools for Preliminary Impact Assessment 34 1.1 Hazard Checklist 34 1.3 Hazard Identification 36 1.5 Risk Matrices . 38 1.7 Positive Impacts. 39 1.9 Job Safety Analysis vs. MoC .
16、39 ABSGUIDANCE NOTES ON MANAGEMENT OF CHANGE FOR THE MARINE AND OFFSHORE INDUSTRIES .2013 v TABLE 1 Impact Checklist 35 TABLE 2 Sample Hazard Identification for Installation of a Lifting Appliance on Deck for Hose Handling on an Oil Tanker 37 TABLE 3 Focus of Hazard Identification for JSA and for Mo
17、C . 39 FIGURE 1 Sample Risk Matrix . 38 APPENDIX 2 Two Completed MoC Examples 40 Example 1: Addition of Lifting Appliance on Deck of an Oil Tanker 40 I-A Request for Change 40 I-B Preliminary Impact Assessment 41 I-B Preliminary Impact Assessment (continuation). . 42 I-C Implementation Plan Summary
18、. 44 II Senior Review . 44 III Detailed Risk Assessment Review 44 IV Approval 45 V Documentation and Training . 45 VI Verification and Closeout . 46 Annex A Risk Matrix . 47 Example 2: Addition of Electrical Receptacle in Deckhouse Next to Accommodation 48 I-A Request for Change 48 I-B Preliminary I
19、mpact Assessment 49 I-B Preliminary Impact Assessment (continuation). . 50 I-C Implementation Plan Summary . 51 II Senior Review . 51 III Detailed Risk Assessment Review 51 IV Approval 51 V Documentation and Training . 52 VI Verification and Closeout . 53 Annex A Risk Matrix . 54 This Page Intention
20、ally Left Blank ABSGUIDANCE NOTES ON MANAGEMENT OF CHANGE FOR THE MARINE AND OFFSHORE INDUSTRIES .2013 1 Section 1: Introduction SECTION 1 Introduction 1 General A Management of Change (MoC) system is a combination of policies and procedures used to evaluate the potential impacts of a proposed chang
21、e so that it does not result in unacceptable risks. Developing an effective MoC strategy requires establishing, documenting, and successfully implementing formal policies to evaluate and manage both temporary and permanent modifications in the facility or ship including equipment, materials, operati
22、ng procedures and conditions, and personnel. These Guidance Notes highlight key considerations for developing and maintaining a successful MoC process for ships and offshore facilities. The process is consistent with safety and environmental management systems (SEMS) best practices. These Guidance N
23、otes explain the core principles to be considered and describe key functions and interrelationships for consideration at various levels of a representative organization. Supplemented by models and examples to be used in planning and developing an effective MoC system, these Guidance Notes are intend
24、ed to educate and assist management representatives and personnel responsible for initiating and coordinating changes. Successful organizations are dynamic and constantly undergoing change in striving for innovative and cost effective solutions to achieve sustainability in a robust and competitive b
25、usiness environment. A disciplined management of change system will not only minimize significant impacts on safety and the environment, but will incorporate strategies in managing the associated business risks on quality, continued commerce, and security. 3 Why Manage Change? History has many examp
26、les of inadequately managed changes that resulted in catastrophic accidents. A well-documented MoC program can be used to demonstrate an organizations commitment toward due diligence in risk mitigation efforts. There are characteristics relative to the nature of marine or offshore operations which c
27、onvey heightened importance on the implementation of an effective MoC program. For example, the limited space for emergency spares means that many emergency repairs carried out at sea are to remain until appropriate spares can be procured. Similarly, limited crew, crew fatigue, and crew turnaround c
28、an lead to the implementation of changes whose associated impacts are not thoroughly understood. Risk management strategies and strong administration form the basis of an effective MoC program. An ability to sufficiently analyze and understand the effects and consequent risk associated with the impa
29、ct of a proposed change will provide the organization with vital insight in deciding upon and concluding change. Designing safety into the MoC program can effectively decrease the occurrence of undesirable change-induced incidents. Studies into the causes of incidents reveal that severe injury accid
30、ents occur at a disproportional rate during unusual and non-routine work activities. The establishment of policies to manage equipment, operational and organizational deviations from the existing condition will improve safety, promote environmental compliance, safeguard property, and preserve busine
31、ss reputation. 2 ABSGUIDANCE NOTES ON MANAGEMENT OF CHANGE FOR THE MARINE AND OFFSHORE INDUSTRIES .2013 Section 2: Recognition of a Change SECTION 2 Recognition of a Change 1 Program Scope A system that requires change management to be carried out for every single modification is likely to become on
32、erous and circumvented. For this reason, it is important to pay special attention to the activities and systems for which the MoC program will be implemented, the life-cycle applicability of the MoC, the type of changes to be evaluated, and boundaries and overlaps with other administrative programs
33、or elements. 1.1 Activities and Systems within the MoC Program Scope An MoC program can include the whole enterprise, or alternatively, have a physical scope limited to certain systems or activities. The reasons for limiting the scope on the program can stem from the desire to enhance the effectiven
34、ess of the program, or the fact that the program was born to help deal with problems in a specific area, or to support a regulatory compliance effort. The criticality of a system or activity can be used as a parameter for determining whether or not a system should be part of the MoC program scope. T
35、he premise is that impacts associated with a critical system change are likely to be of serious consequences, thus managing through an MoC program could make a significant and positive difference. The systems and activities that may be considered critical in a marine environment because of their pot
36、ential health, safety and environmental impacts, will depend heavily on the type of ship or offshore facility, the operations carried out, and the hazardous materials/cargo handled. Section 2, Table 1 shows typical examples of systems and high level activities which may be considered critical. Note
37、that each activity involves numerous types of subtasks, all of which should be governed by an MoC program. For example, construction activities in the offshore industry include initial construction, onsite construction, repairs, modifications, pipe laying operations, sand blasting and painting, weld
38、ing, crane operations, electrical equipment modification, facility decommissioning, etc. TABLE 1 Critical Activities/Systems Typically Governed by an MoC Program Offshore Marine Drilling Production Processing Construction Well Services (workover, completion, servicing) Pipelines Propulsion Steering
39、Navigation Cargo (containment, handling and monitoring) Structure (repair, modification, sand blasting, welding, hoisting/lifting, electrical, etc.) Common to Offshore and Marine Emergency systems (fire protection, gas detection, life saving, life support) Ballast control Communications Hazardous ar
40、eas Security Supervisory control systems (computer programs) Fuel gas Utilities Section 2 Recognition of a Change ABSGUIDANCE NOTES ON MANAGEMENT OF CHANGE FOR THE MARINE AND OFFSHORE INDUSTRIES .2013 3 Note that although criticality of systems is used as criteria for a limited-scope MoC program, ch
41、anges in non-critical systems can also present significant impacts, thus greatly justifying the need and benefits of more comprehensive MoC programs. 1.3 Life-Cycle Phases The MoC process is applicable throughout the life-cycle of a ship or offshore facility, but it may be distinctively applied at e
42、ach stage. When developing an MoC program, one important aspect to define is the life-cycle stages for which it will be required. A typical breakdown of the life-cycle of a ship or offshore facility would include the following stages: Design Construction Start-up Operation (including inspection and
43、maintenance) Dry-dock or extended shutdown Decommissioning The techniques used to evaluate the change, the people available for review and approval, the time frames for reviewing and implementing the change, etc., will differ between stages. During a facility design stage, there are many changes, bu
44、t there will be fewer records to update than if the change occurred at an operating stage of the facility. When evaluating changes at a design stage, the impact or risk assessment techniques, which are a strong function of the available information, may be different than for more mature life-cycle s
45、tages. Tools such as software simulations, quantitative risk analysis, etc., prove invaluable at the early stages, even though they are more effort and resource intensive. At operating stages, the changes will require a larger amount of information to be reviewed and updated such as drawings, mainte
46、nance and inspection plans, training programs, emergency plans, etc. In older operating ships or offshore facilities, the access of information may involve old paper records instead of completely electronic documentation. Towards the end of life, the change management may be simplified. It may invol
47、ve fewer closeout tasks, fewer updates of associated documentation, less rigorous sign-off procedures, limited or no training needed as a result of the changes, etc. There will be a decommissioning plan, where the impacts of all the activities planned have been carefully analyzed and mitigated again
48、st. The definition of the types of changes to be managed may then become “deviations from the decommissioning plan”. Scope of MoC Program Contracted Equipment and Personnel In offshore activities, reliance on specialized contracted operators presents some unique challenges. For example, an offshore
49、lease-holder company field utilizes mobile offshore drilling units, owned and operated by a drilling contractor, for drilling, construction, well servicing, etc. These activities can present significant health, safety, and environmental impacts. All parties involved are likely to have some degree of liability if an accident occurs during these activities. The lease-holder company shall require an MoC program for these critical activities, even when carried out by contractors. The contractors may have their own MoC program to manage change
