CMM	Crew Management Manual (CMM) Seafarer Performance Management	Doc No.: CMM-6.15 Revision: 01 Date: 15 Oct 2024 Issued by: DPA Approved by: MD

6.15 SEAFARER PERFORMANCE MANAGEMENT AND CAREER DEVELOPMENT

6.15.1 Performance Appraisal Process

The Company performance appraisal process aims to achieve a number of outcomes, they are to:

• Assess the seafarers’ performance on the job against a set of key performance requirements
• Identify strengths and any areas for improvement
• Agree what, if any, training and/or personal development is necessary to improve performance and/or prepare the seafarer for promotion
• Provide the Company with a reliable and valuable source of information to make decisions about promotion
• Acknowledge and to formally say “thank you” for a seafarer’s efforts and contribution
• Involve ship and shore management in their ongoing efforts to improve safety, compliance, and the standard of seagoing personnel

The performance appraisal process consists of a face-to-face meeting where the seafarer and the appraiser are encouraged to express their views freely and openly.

The seafarer should be encouraged to sign the Seafarer Performance Appraisal form (CRV 12 or CRV 13) and to add any comments in the box provided. The appraiser must give a copy of the completed form to the seafarer. This shall include the Training and Development Plan, so that the seafarer can discuss how to address areas for improvement with the Crew Manager and ensure that the appropriate training/coaching is received before the next planned assignment.

Individuals responsible for conducting performance appraisal discussions are designated below:

Appraiser	Rank	Frequency
TD or MSI, TSI, SNQ	Master & Chief Engineer (and any other Officers as deemed necessary)	Every vessel visit with a minimum target of not less than one appraisal per year per Master/Chief Engineer
Master	Chief Engineer, Chief Officer, Deck Officers, Catering Personnel	Before seafarer or Master signs-off from the vessel provided they have sailed together for a minimum of 30 days / Monthly Appraisal CRV-15
Chief Engineer	Engine Officers (incl Electrical Officer)	Before seafarer or Chief Engineer signs-off from the vessel provided they have sailed together for a minimum of 30 days / Monthly Appraisal CRV-15
Chief Officer	Deck Ratings, Deck Cadets and Trainees	Before seafarer or Chief Officer signs-off from the vessel provided they have sailed together for a minimum of 30 days
1st Assistant/2nd Engineer	Engine Ratings, Engine/ Electrical Cadets and Trainees	Before seafarer or Second Engineer signs-off from the vessel provided they have sailed together for a minimum of 30 days

In addition, all new hire officers and officers who have been promoted shall have a performance appraisal carried out within eight weeks from the sign-on or promotion date. Where the trading pattern of the vessel prevents Superintendent attendance on board to complete the appraisal of Masters & CE under probation period, a performance review discussion shall be held by telephone within eight weeks from the sign-on or promotion date, followed up by a performance appraisal upon off-signing. In all cases, records shall be maintained on the Performance Appraisal forms.

In exceptional circumstances, the Master may consider that it is not appropriate for the designated appraiser to conduct the performance appraisal. In a case such as this, he may conduct the appraisal himself or delegate the task to another Officer. In these cases, a full explanation must be provided.

Where the Chief Engineer, Chief Officer or Second Engineer is the designated appraiser, the Master must review all completed forms for accuracy and consistency. It is very important that comments are provided where a seafarer has been awarded a number of ‘Highly Effective’ assessments or where a seafarer has a number of ‘Improvement Required’ boxes ticked.

If the Master disagrees with the marks given and/or comments made he must discuss his concerns with the appraiser and include an explanatory comment on the form. Any changes made because of the Master’s involvement must be explained to the seafarer. By signing the forms, the Master confirms he is satisfied that the content of the performance appraisal is an accurate and honest assessment of the seafarer’s performance onboard.

All original performance appraisal forms should be enclosed in a sealed envelope and sent for the attention of the Crew Manager.

6.15.2 Seafarer Performance Management & Career Development

Unless the crew management function has been transferred, the Crew Manager is responsible for ensuring, as far as is reasonably practicable, that the quality of the data included in the performance appraisal is accurate. The Crew Manager will review Performance Appraisal forms to:

• Assess whether, to his/her knowledge, the content accurately reflects the performance of the monitor and be aware of the overall and ongoing performance of seafarers in relation to the key performance requirements of their jobs and ranks,
• Review the Training and Development Plan completed as part of the performance appraisal discussion and take whatever action is appropriate to ensure identified training is provided,
• Cross-check compliance with the matrix of mandatory and the Company training courses relevant to vessel type when reviewing the Training and Development Plan.
• Discuss with the seafarer the effectiveness of any training undertaken since the last performance appraisal was completed.
• Conducting a career development meeting with the Seafarer. This should include all areas for improvement and promotion potential,
• Reviewing the ‘Improvement Required’ and ‘Significant Improvement Required’ KPRs and agreeing the Training Actions that must be entered onto the CRV 12&13 forms.
• For each ‘Significant Improvement Required’ KPR, the agreed Training Actions must be entered into the Seafarers personal ShipSure account as a ‘Mandatory Requirement’. This training MUST be completed before the Seafarer’s next contract and ShipSure will alert the Crew Manager if the Seafarer is proposed for a future vessel and the training has not been completed.
• For each ‘Improvement Required KPR, the agreed Training Actions must be entered into the Seafarer’s personal ShipSure account, but the ‘Mandatory Requirement’ option should not be selected.

The Crewing Office Crew Manager is responsible for ensuring that Training Actions that are identified as a ‘Mandatory Requirement’ are completed before the Seafarer joins his/her next vessel.

Training Actions that are not identified as ‘Mandatory Requirements’ will, unless the training is undertaken ashore, be automatically emailed to the Seafarers next vessel, when he/she is signed-on. The Master will receive this list onboard and has the responsibility of reviewing these Training Actions with the Seafarer and agreeing an onboard development programme. The Master shall also refer to the Training Matrix that will identify any timescales within which the training must be undertaken.

The Crewing Office Crew Manager shall review these Actions after the Seafarer signs-off their next vessel.

6.15.3 On Board Discipline

Each seafarer, by signing a ‘Contract of Employment’, agrees to comply with its terms and conditions and to perform rank-specific tasks and duties to the best of their ability. These procedures aim to encourage all seafarers to reach and maintain rank-specific performance standards and to ensure fair treatment if their performance and/or behaviour falls below those standards. These procedures also cover a seafarer’s attitude and actions in relation to safety, security and environmental regulations and instructions contained in the IMS.

The following procedures must be used on all vessels, with the only exceptions being where disciplinary procedures are included in the ‘terms and conditions of employment’ for a particular nationality or where there are specific Flag State requirements.

In cases of minor or less serious acts of misconduct or poor-performance, the Master and/or Head of Department is to organise an interview with the seafarer in order to make him aware of the problem. The aim of the interview is to advise and discuss the problem on an informal basis with a view to getting an improvement in order to meet the required standards and therefore avoid the use of formal disciplinary procedures. A plan should be put in place on completion of the interview which will contain details of any agreement reached e.g further training; targets dates for improvement; and next review.

An informal verbal warning can be administered at this stage and the seafarer must be advised of this immediately.

The Company considers the following acts of misconduct, if proved to the reasonable satisfaction of the Master to have been committed, are those for which dismissal from the ship either immediately or at the end of the voyage will, according to the circumstances of the case, be considered appropriate apart from any legal action which may be called for:

1. Conduct which endangers the ship or persons onboard or which seriously detracts from the safe and/or efficient working of the ship;
2. Disobedience of any order in an emergency relating to the safety of the ship or any person;
3. Failure to make known to the Master, or member of the shore management team, a violation of MARPOL or the Environmental Policy;
4. To smoke, use a naked light or a non-intrinsically safe electrical item in any part of a ship carrying dangerous cargo or stores where smoking / use of naked lights / unapproved electric equipment is prohibited;
5. Causing or permitting unauthorized persons to be onboard the ship whilst at sea;
6. Conspiring with others whilst at sea to impede the progress of the voyage or navigation of the vessel;
7. Smuggling or failure to declare articles leading to the seizure and/or fine to the vessel;
8. Deliberate damage to the ship or any property onboard, or unauthorized disposal of ship’s property for personal gain;
9. Persistent or deliberate failure to perform duties;
10. To be asleep on duty or failure to remain on duty if such conduct would prejudice the safety of the ship or any person onboard;
11. Non compliance with the Company drug and alcohol policy;
12. Being in possession of illegal pornographic material including material contained on computers and mobile phones;
13. Possession of weapons or explosives;
14. Theft or possession of stolen property;
15. Fraud, dishonesty, falsification of Official or Company records or documents;
16. Violence, either threatened or actual;
17. Acts of discrimination or harassment on the grounds of race, colour, nationality, ethnic or national origins, sex, sexual orientation, marital status, age, disability or religion against any other crewmember, shore personnel or other third party;
18. Intimidation, coercion and/or interference with the work of other employees;
19. Desertion, or assisting others to desert;
20. Failure to return to the ship by designated time;
21. Repeated acts of misconduct, incompetence, or negligence of a lesser degree, after one or more warnings have been issued.

Under Performers

Appraiser shall:

• Identify underperformers as early as possible
• Conduct one on one meeting with the underperforming crew
• Hear the concerns of the crew members
• Find out if there are any other reasons behind underperformance
• Convey to the crew regarding his performance
• Give specific examples where the crew member underperformed
• Agree with the crew member on some action plan and time frame to review the performance
  • Use form CRV14 Personal Development plan.
  • Submit a copy of CRV 14 to Crew Manager
  • Involve MTSI/TSI if the poor performer is Chief officer or Second Engineer
• Provide a minimum time for improvement of 30 days
• Review the performance after the agreed duration
• Report to the Master, if no improvement in the performance

Master Shall:

• Evaluate CRV 14 in a very objective manner and call for a board hearing
• In the board hearing, the crew member concerned, his HOD, another crew member preferably from the same nationality of the crew member, and another senior officer to be included
• Hear from both the HOD and the crew member their versions and decide accordingly
• If the decision is to dismiss the seafarer, then inform Crew Manager/ TSI/ MTSI
• Duly fill the ADM19, ADM20
• Appropriate logbook entries to be made for board hearing, dismissal process

6.15.4 Formal Onboard Disciplinary Procedures

An allegation of misconduct is a very serious matter and it is important that cases are handled in a fair and consistent manner. When dealing with such matters, the decision-maker must act in good faith and without bias.

If the alleged misconduct involves the Master, the Fleet Manager will deal with the case.

It is important that the following process is adhered to:

1. All allegations of misconduct must be dealt with promptly;
2. An investigation to establish the facts must be conducted prior to any disciplinary meeting;
3. The matter must be kept as confidential as possible, although in some cases, there will be a need to involve other crewmembers and/or shore management personnel;
4. The seafarer must be given full details of the allegations, including, where appropriate, copies of any documents to be used in the case. The seafarer should be given sufficient details to enable an explanation or defence to be prepared;
5. The Master, or responsible person, will interview the seafarer accused of misconduct, and any witnesses. Notes of the interview(s) must be taken and should be signed by all parties to indicate they are accurate;
6. It is a seafarer’s right to be accompanied by a colleague at a formal disciplinary meeting;
7. The colleague may speak at the meeting but cannot answer questions on behalf of the seafarer;
8. There is a right of appeal against the disciplinary action taken. See appeals below.

When the Master or responsible person is satisfied that a careful and thorough investigation has been conducted and after he/she has considered all of the evidence presented, on reaching a decision, the seafarer will be informed, in writing, of the outcome of the investigation. This letter must offer the seafarer the opportunity to appeal and should contain details of how to submit an appeal.

Where the Master, or responsible person, believes a penalty is justified, the penalty will be reasonable in the light of the facts presented, and will take into account the seafarer’s record on the ship and any other factors considered relevant.

The Master, or responsible person, must close the process by taking one of the following actions:

1. Confirm that the seafarer did not commit the alleged misconduct and the matter will be regarded as closed;
2. Issue an informal verbal warning;
3. Issue a formal written warning (ADM19A). The warning will include the likely consequences if the seafarer commits further acts of misconduct;
4. Dismiss the seafarer from the ship. If the Master, or responsible person, decides that the continued presence of the seafarer onboard would be detrimental to the safe and efficient running of the ship or the maintenance of good team-working, he may request for the seafarer to be disembarked at the next port.

Refer to detail Dismissals & terminations procedure CMM6.15A.

Details of the confirmed misconduct and action taken must be recorded in the official logbook. The seafarer must be given a copy of this log entry and must acknowledge receipt of it. If the seafarer refuses to acknowledge receipt, then a subsequent entry is made and must be witnessed by another senior officer and, if possible, by another seafarer of the same nationality as the disciplined seafarer.

All paperwork in misconduct cases, whether dealt with informally or formally, must be submitted to the Crew Manager and Crew Manager for eventual retention in the seafarer’s personal file.

6.15.5 Case Review by Shore Management

The Company’s overriding concern when dealing with allegations of misconduct is to ensure fairness and consistency in investigating cases and reaching decisions, which are consistent and apply across the entire fleet.

In cases of dismissal from the vessel, the following process will be followed:

1. The Crew Manager will sign-off the seafarer as ‘End of Contract’. The seafarer’s status at this point will be marked as ‘Vacation’. The status of ‘vacation’ will remain until a final decision regarding future employment has been made.
2. All disciplinary documentation shall be forwarded to the FLP Manager within 2 days of receipt from the vessel.
3. The FLP Manager will review all of the documentation and circumstances surrounding the seafarer’s dismissal from the ship and decide whether to recommend to the TD dismissal of the seafarer from the Company.
4. The TD will review the case, make a decision, and inform the relevant TSI/MSI of this decision.
5. The Crew Manager will inform the seafarer in writing of the decision. Any letter confirming dismissal from the Company will include details of the appeals procedure.

6.15.6 Appeals

The seafarer is entitled to appeal against any disciplinary action. The appeal must be in writing and must be sent to the Crew Manager within 10 working days of the seafarer’s arrival home. In dismissal cases, the appeal must be lodged within 10 days of receiving the termination letter. The seafarer must include a reason(s) for the appeal and must enclose relevant documents in support of the appeal. Upon receipt of an appeal, the Crew Manager will retrieve all paperwork associated with the case and forward this plus the appeal documentation for the attention of the MD who will consider all such appeals. The decision of the MD in an appeal case is final.

6.15.7 Conduct in Emergencies

In any emergency or other situation in which the safety of the ship or of any person on board is at stake, the Master, officers, and senior ratings are entitled to look for immediate and unquestioning obedience of orders. There can be no exception to this rule. Failure to comply will be treated as among the most serious acts of misconduct and will lead to the offender's dismissal from the ship at the first opportunity. Under certain flag legislation such an act of misconduct may also lead to prosecution.

6.15.8 Re-Education

In particular circumstances, especially where a member of crew has been involved in an operational incident, there may be a need for either retraining or further development. This may prove to be a more suitable alternative and/or addition to any other disciplinary action, particularly when dealing with experienced staff. In such cases, this will be fully discussed with the managing office who shall make a decision on whether or not this is an acceptable solution.

6.15.9 Conduct when travelling to and from a vessel or while on shore leave

Incidents can occur to seafarers when travelling to and from vessels and whilst on shore leave. All of these incidents are a cause for concern as they can jeopardize your personal safety and security. To help ensure that the travel and shore leave is incident-free, all seafarers have a responsibility to conduct themselves in a responsible manner that is in line with international and local rules and regulations. This involves not consuming excessive quantities of alcohol. In addition, seafarers shall fully cooperate with local authorities, authorized transport representatives, and agents.

Furthermore, when you are travelling to and from a vessel, you are representing both the Company and the vessel’s owner, and in addition, you are covered by insurance during this period. In accordance with this insurance cover, it is important that you conduct yourselves in a professional manner at all times.

6.15.10 Seafarer Promotion

Every seafarer is encouraged and supported to develop his/her career with the Company. Having a pipeline of knowledgeable and competent seafarers enables the Company to provide excellent service to our clients and enhances the Company reputation in the marketplace.

We recognize that many seafarers are keen to gain promotion and achieve their career goals as quickly as possible. Company policy is to offer promotion based upon a set of criteria, which gives weight and emphasis to STCW competence, sea time, seagoing experience, and performance appraisals. In addition, for promotion to Officer Ranks, we expect full and satisfactory completion of tasks and duties contained in the relevant Officer Development Checklist (CRV17a-g) and success at a promotion interview.

To enable the selection of competent Officers for promotion and to ensure consistency of approach, the Company has developed an Officer Promotion Matrix (Appendix IV), which outlines the specific criteria that must be met for consideration of promotion from rank to rank. In addition, the matrix also identifies the persons involved in, and responsible for, promotion decision-making. However, please keep in mind that individual client requirements may influence changes to either the criteria or responsibilities. If client approval is required for promotions, the Crew Manager is responsible for arranging such submissions.

A formal interview, for consideration of promotion to Master and/or Chief Engineer, must be conducted by a trained interviewer. A form CRW24 & CRW25 must be used for this purpose and all responses to interview questions must be written up and attached to the form.