Appendix 8 - Standard Format for Reporting an Application of FSA to IMO
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Appendix 8 - Standard Format for Reporting an Application of FSA to IMO

 1 This standard format is intended to facilitate the compilation of the results of applications according to these guidelines and the consistent presentation of those results to IMO.

2 Interested parties having carried out an FSA application should provide the most significant results in a clear and concise manner, which can also be understood by other parties not having the same experience in the application of risk assessment techniques.

3 The report of an FSA application should contain an executive summary and the following sections: definition of the problem, background information, method of work, description of the results achieved in each step and final recommendations arising from the FSA study.

4 The level of detail of the report depends on the problem under consideration. In order for users and reviewers to understand the results of FSA, the results of the FSA should be reported by:

  • .1 a summary report of limited length (i.e. maximum 20 pages);

  • .2 a full report that includes a detailed presentation and an explanation; and

  • .3 if necessary, background data on an Internet site which is accessible by reviewers of the Organization.

5 Those submitting the results of the FSA application should provide the other interested parties with timely and open access to relevant supporting documentation and sources of information or data which are referred to in the above-mentioned report, as reflected in paragraph 9.2.1 of the FSA Guidelines.

6 The following section presents the standard format of FSA application reports. The subjects expected to be presented in each section of the report are listed in italic characters and reference is made, in brackets, to the relevant paragraph(s) of the FSA Guidelines.

 STANDARD REPORTING FORMAT

1 TITLE OF THE APPLICATION OF FSA

2 SUMMARY (maximum 1/2 page)

2.1 Executive summary: scope of the application and reference to the paragraph defining the problem assessed and its boundaries.

2.2 Actions to be taken: type of action requested (e.g. for information or review) and summary of the final recommendations listed in section 7.

2.3 Related documents: reference to any supporting documentation.

3 DEFINITION OF THE PROBLEM (maximum 1 page)

  • (refer to paragraphs 4.1 and 4.2 of these guidelines)

3.1 Definition of the problem to be assessed in relation to the proposal under consideration by the decision-makers.

3.2 Reference to the regulation(s) affected by the proposal to be reviewed or developed (in an annex).

3.3 Definition of the generic model (e.g. functions, features, characteristics or attributes which are relevant to the problem under consideration, common to all ships of the type affected by the proposal).

4 BACKGROUND INFORMATION (maximum 3 pages)

  • (refer to paragraph 3.2 of these guidelines)

4.1 Lessons learned from recently introduced measures to address similar problems.

4.2 Casualty statistics concerning the problem under consideration (e.g. ship types or accident category) including data analysis (i.e. time dependence, ship size influence, variability assessment, hypothesis testing, etc.).

4.3 Any other sources of data and relevant limitations.

5 METHOD OF WORK (maximum 3 pages)

  • (refer to paragraph 3.1.1.2 of these guidelines)

5.1 Composition and expertise of those having performed each step of the FSA process by providing e.g. name and expertise of the experts involved in the application and name and contact point (email address, telephone number and mailing address) of the coordinator of the FSA.

5.2 Description of how the assessment has been conducted in terms of organization of working groups and, method of decision-making in the group(s) that performed each step of the FSA process.

5.3 Start and finish date of the assessment.

6 DESCRIPTION OF THE RESULTS ACHIEVED IN EACH STEP (max. 10 pages)

For each step, describe:

  • .1 method and techniques used to carry out the assessment;

  • .2 assumptions, limitations or uncertainties and the basis for them; and

  • .3 outcomes of each step of the FSA methodology, including:

STEP 1 – HAZARD IDENTIFICATION:

(refer to paragraph 5.3 of these guidelines)

  • prioritized list of hazards and description of their associated scenarios

  • identified significant accident scenarios including causes and initiating events in line with the scope of the FSA

STEP 2 – RISK ANALYSIS:

(refer to paragraph 6.3 of these guidelines)

  • types of risk (e.g. individual, societal, environmental, business)

  • presentation of the distribution of risks depending on the problem under consideration

  • identified significant risks

  • principal influences that affect the risks

  • sources of accident and reliability statistics

STEP 3 – RISK CONTROL OPTIONS:

(refer to paragraph 7.3 of these guidelines)

  • what hazards are covered by current regulations

  • identified risk control options

  • assessment of the control options as a function of their effectiveness against risk reduction

STEP 4 – COST-BENEFIT ASSESSMENT:

(refer to paragraph 8.3 of these guidelines)

  • identified types of cost and benefits involved for each risk control option

  • cost-benefit assessment for the entities which are influenced by each option

  • identification of the cost-effectiveness expressed in terms of cost per unit risk reduction

STEP 5 – RECOMMENDATIONS FOR DECISION-MAKING:

(refer to paragraph 9.3 of these guidelines)

  • objective comparison of alternative options

  • discussion on how recommendations could be implemented by decision-makers

7 FINAL RECOMMENDATIONS FOR DECISION-MAKING (maximum 2 1/2 pages)

List of final recommendations, ranked and justified in an auditable and traceable manner

(refer to paragraph 9.3 of these guidelines)

ANNEXES (as necessary)

  • .1 explanation of the background of each expert (e.g. a short curriculum vitae) and the basis of selection of the experts;

  • .2 list of references;

  • .3 sources of data;

  • .4 accident statistics;

  • .5 technical support material; and

  • .6 any further information.

Parent topic: MSC-MEPC.2/Circular.12/Rev.2 – Revised Guidelines for Formal Safety Assessment (FSA) for Use in the IMO Rule-Making Process – (9 April 2018)
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