Ship Sms Guide

8/18/2019 Ship Sms Guide

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Safety ManagementSystem Manual

Guidebook

Developed by: Commandant (G-MSO-2)U.S. Coast Guard



SMS Manual Guidebook

Table of Contents

Chapter 1: Introduction 1

Chapter 2: Safety and Environmental Protection Policy 3

Chapter 3: Company e!pon!ibility and "uthority 5

Chapter #: $e!i%nated Per!on! 9

Chapter &: Ma!ter'! e!pon!ibility 11

Chapter (: e!ource! and Per!onnel 13

Chapter ): *e!!el +peratin% Procedure! 15

Chapter ,: Emer%ency Preparedne!! 17

Chapter -: eportin% Procedure! 19

Chapter 1.: Maintenance 20

Chapter 11: $ocumentation 23

Chapter 12: Company *erification and evie/ 27

i



SMS Manual Guidebook

ii

Chapter 1Introduction

OverviewIntroduction An analysis of casualty studies concluded that over eighty percent of all

high consequence marine casualties may be directly or indirectlyattributable to the “human element ! "hese types of errors play a part invirtually every casualty# including those $here structural or equipmentfailure may be considered the immediate cause

%onsequently# the international maritime community and the & ' %oast(uard sa$ the need to emphasi)e shipboard safety management practicesto minimi)e human errors or omissions

Purpo!e of the!afety mana%ement!y!tem

"he safety management system *'+', is required by all responsible persons and their vessels that must comply $ith the requirements of-

• %hapter ./ of the .nternational %onvention for the 'afety of ifeat 'ea *' A',# 197 and

• .nternational 'afety +anagement *.'+, %ode for the 'afeperation of 'hips and 4ollution 4revention# adopted inondon on +ay 2 # 199

Purpo!e of thi!

%uide

"his guide e plains the purpose# ob6ectives# and functional elements of the

'+' "he accompanying '+' +anual for small passenger vessels is provided to illustrate the information required to fulfill the minimumrequirements "he manual samples may be copied and or modified asnecessary to fulfill your company8s individual needs

An electronic copy of the manual can be obtained on dis in :indo$s+icrosoft :ord format from your local & ' %oast (uard +arine 'afety

ffice as $ell as the follo$ing office-

;essel and <acility perating 'tandards =ivision# *(>+' >2,& ' %oast (uard ?eadquarters2100 'econd 'treet# ':

:ashington# =% 20593>0001"elephone- 202>2@7>11 1

1



Safety Mana%ement+b0ective!

"he safety management ob6ectives of the %ompany should-• provide for safe practices in ship operation and a safe $or ing

environment• establish safeguards against all identified ris s and

• continue to improve the safety management s ills of personnelashore and aboard ships# including preparing for emergenciesrelated both to safety and environmental protection

Implementation "he '+' $ill be implemented by ensuring compliance $ith-• mandatory rules and regulations

• applicable codes# guidelines# and standards in compliance $ith"itles 33 and @ of & ' a$ and

• international conventions to $hich the & ' is a party *' A'#+AB4 # etc ,

e!pon!ibility "he safety management system must document the responsible person8s-• safety and pollution prevention policy#

• functional safety and operational requirements#

• record eeping responsibilities# and

• reporting responsibilities

unctionalre uirement!

"he safety management system must also be consistent $ith the functionalstandards and performance elements of .'+ %ode "hese include-

• a policy for safety and environmental protection

• instructions and procedures to ensure safe operation of ships and protection of the environment in compliance $ith relevantinternational and flag state legislation

• defined levels of authority and lines of communication bet$eenand among shore and shipboard personnel

• procedures for reporting accidents and non>conformities $ithin the provisions of the .'+ %ode

• procedures to prepare for and respond to emergency situations and

• procedures for internal audits and management revie$s



Chapter Safety and !nvironmental "rotection "olicy

OverviewIntroduction "his chapter contains the safety and environmental policy statement that

clearly defines the company8s responsibility and commitment to the policy8s implementation

he 4Policy5 Cour company8s environmental protection policy should be a concise andclear statement "he company8s ob6ectives and standards must be set atthe highest level that is reasonable for the company to enforce At thevery least# the company shall comply $ith all mandatory rules andregulations "he policy should describe-

• the aim of the '+' and

• a strategy to achieve and maintain the aim

.ndicate the policy8s interaction $ith e isting company policies and procedures "he policy should describe ho$ the follo$ing ob6ectives areto be met-

• safe practices for vessel operation and a safe $or ing environmentfor the type of vessel the system is developed for

• safeguards against all identified ris s and

• avoidance of damage to property

"he policy should encourage continuous improvement in safety a$arenessand safety management s ills .t should be signed by the o$ner orcomparable decision>ma er and should be revie$ed at regular intervals toensure that it remains relevant and effective

Implementation A strategy for implementation should be considered at the time the policyis developed# including the best method to ensure that all employeesunderstand its content and the senior management8s commitment to itsob6ectives



i%ure 1Sample +r%ani8ation Chart

Overall $esponsibility

Managing dire tor!senior e"e utive!o#ner

$ a epts overall responsibility %or all mattersrelated to sa%ety and environmental prote tion.

Management $esponsibility

S&ore based managers and vessel masters

$ are responsible %or:ensuring t&eir o#n sa%ety't&e sa%ety o% ot&ers' andprote ting t&e environment.

Individual $esponsibility

(ll individuals dire tly involved in Companyoperations

$ are responsible %or:ensuring t&eir o#n sa%ety't&e sa%ety o% ot&ers' andprote ting t&e environment.



9ob $e!cription! Dob descriptions for those employees responsible for any portion of thesafety and environmental protection policy should be created and ept onfile containing the follo$ing details-

•

position *6ob title,• ship# ship type# or office location should be identified# if

appropriate• immediate supervisor

• qualifications required for the position

• general responsibilities for safety and environmental protection

• specific responsibilities

• emergency responsibilities

"llocation ofe!ource!

.t should be stated in the '+' policy statement that adequate resourcesand shore>based support $ill be provided from the highest possibleauthority in the company

Chapter &'esignated "ersons

OverviewIntroduction Every company# as appropriate# should designate a person*s, a!hore $ith

direct access to the highest level of management to-• ensure the safe operation of each ship and

• provide a lin bet$een the company and those on board

Although there is no stated requirement in the .'+ %ode to documentho$ the company complies $ith this requirement# it is advisable to do so

ea!ibility .n many cases# creating a position of designated person*s, could imposeadditional burdens on the company "he role of the designated personshould be considered from the point of vie$ of function*s, and not

position "herefore# duties and responsibilities may be allocated $ithinthe e isting management structure

:here it is not reasonably practicable to allocate these responsibilities toshore>based personnel# the company should consider alternativearrangements <or instance# cre$ members may be allocated theresponsibilities of the designated person for their vessel r# in the case of a sole o$ner operating a single vessel# the position of designated personmay be the o$ner

e!pon!ibility and"uthority

"he %ompany should# in $riting# state that the designated person*s, has-• appropriate bac ground no$ledge and e perience to oversee the

safety management system for the company• suitable qualifications and e perience in the safety and pollution

control aspects of ship operations• competency in the company8s safety and pollution control aspects

and in the operation of the company and shipboard '+'•

access to the highest level of management ashore and aboard thecompany8s vessel*s,• the independence and authority to report deficiencies observed to

the highest level of management and•

• responsibility for organi)ing safety audits# and ensuring that



corrective action has been ta en

"here should be adequate ans$ers to the designated person*s, role in thefollo$ing-

• internal audits#• treatment of non>conformities#

• e change of information bet$een vessel and office#

• vessel visits# and

• communication $ith highest level of management

ualification! "he designated person*s, should have all of the necessary qualifications toreali)e the responsibilities and authorities stated by the company in their'+'

Selection criteria 'election criteria for the appointment of designated person*s, includes# but is not limited to the follo$ing-

• position held $ithin the company

• management e perience

• seafaring e perience

• no$ledge of the company '+'

•

no$ledge of pollution prevention measures• academic qualification

• language and communication s ills

• personal authority

• commitment to '+' ob6ectives

Chapter (Master)s $esponsibility

OverviewIntroduction "his chapter references the +aster8s responsibility and authority as

specified in section 33 %<B 9@ 250 *d#e,

e!pon!ibility and"uthority

"he company should clearly define and document the master8sresponsibility $ith regard to-

• implementing the safety and environmental protection policy of thecompany

• motivating the cre$ in the observation of that policy

• issuing appropriate orders and instructions in a clear and simplemanner

• verifying that specified requirements are observed and

• revie$ing the '+' and reporting its deficiencies to the shore> based management# as applicable

"bility to Make*e!!el $eci!ion!

"he company should prepare a $ritten statement verifying the +aster8soverriding responsibility and authority to ma e vessel decisions specifyingthat the +aster has-

• the ability to ma e decisions about safety and environmental pollution and

• the ability to request the company8s help $hen necessary

Chapter *$esources and "ersonnel

OverviewIntroduction "his chapter references the personnel procedures and resources available

ashore and aboard ship as specified in 33 %<B 9@ 250*f,

e uirement!for Ma!ter!

"he company should only appoint masters $ho-• have the required level of training

• are medically fit

• hold appropriate internationally recogni)ed certificates and

• are considered by the company to have the competence tocommand the type of vessel to $hich they are to be assigned

Per!onnel "he effectiveness of the '+' $ill depend upon the commitment andmotivation of the shipboard personnel "he company should consider thefollo$ing $hen addressing personnel in the conte t of the '+'-

• the trade in $hich the ship is engaged and the cre$8s $or load

• the s ills required by the cre$ for the safe e ecution of the tas sthey are e pected to perform in normal operations and during

emergencies• the a$areness of the cre$ $ith respect to their '+' duties and

• the availability of appropriate records of qualifications and medicalfitness

elevant ule! All personnel involved in ship operation should become familiar $ithminimum regulations dealing $ith aspects of safe ship operation and

pollution prevention that are incorporated in and published as nationallegislation *i e # ' A'# +AB4 , or @ %<B 'ubchapter "

rainin% 'afety training drills should be carried out in accordance $ith the procedures and requirements laid do$n in the '+' .n order to ensurethat cre$ members meet the company8s '+' standard and gainconfidence in controlling situations that are li ely to arise should anemergency occur# drills should cover a li ely emergency

Information on the "he company should provide employees $ith copies of the relevant



SMS provisions of the '+' including a direct correlation to theirresponsibilities

Communication "he company should ensure that all cre$ members are able to

communicate effectively $ith other cre$ members and passengersEffective communication bet$een the cre$ and their passengers can becrucial in the outcome of an emergency situation

Chapter +,essel Operating "rocedures

OverviewIntroduction "he company should establish procedures that detail the plans and

instructions for ey vessel operations concerning the safety of the ship andthe prevention of pollution "he various tas s involved should be definedand assigned to qualified personnel "his information should be easilyunderstood by all relevant shipboard personnel

;int! andSu%%e!tion!

All $ritten procedures# instructions# or plans should be ept simple andunambiguous %hec lists may help to guarantee that all routines in a

particular operational phase are covered .f plans are already developed

and being used by the company# the company should verify each plan8scompleteness and reference to it in the '+'

"rea! to <eCovered

Begulatory

%ertification of .nspection > @ % ' A'

=ischarge of ils and (arbage > 33 % @ % @ % @ % @ % @ % @ %&nder$ay %hec list > @ % @% @ % @ %<B1 2 @0

Fridge :atch eeping Arrangements > Bule 5# .nland GavigationalBegulations for 4reventing %ollisions at 'ea# 1972 and Bule 5# .nland

Gavigational Bules Act of 19 0 *33 & ' % 2005,

ther :atch eeping Arrangements > @ % @ %<B 510# 1 5 512

Gon Begulatory

+aster8s 'tanding .nstructions

Chapter -!mergency "reparedness

OverviewGeneral "he company should establish procedures to prepare for various

emergencies involving pollution and the safety of the vessel# cre$# and passengers "he various tas s involved should be defined and assigned toqualified personnel

ISM Codee uirement!

:ritten procedures for emergency preparedness must be made available toall company personnel# both shore and vessel based "he proceduresshould-

•

.dentify# describe# and direct response to potential emergencyshipboard situations• Establish programs for drills and e ercises to prepare for

emergency actions• 4rovide measures to ensure that the company8s organi)ation can

respond at anytime to ha)ards# accidents# and emergencysituations involving their vessel*s,

• "rea! to <eCovered

Begulatory

<ire <ighting =rills and "raining > @ % @ % +AB4 73 7Begulation 2@# 4rotocol .

<ire > @ % @ %530

+an verboard > @ % @ %<B 1 710# 1@0 0 1

Chapter .$eporting "rocedures

OverviewIntroduction "he company should include procedures in the '+' to ensure that

ha)ardous situations# accidents# non>conformities# and discharges of oiland garbage are reported# investigated# and analy)ed "he companyshould also ensure that corrective actions are implemented and verified

Policy and Schedule"he reporting of accidents# ha)ardous situations# and discharges of oil andgarbage should be done in a timely manner %orrective measures ta enshould improve safety and pollution prevention 4rocedures andresponsibilities for reporting these events $ill be clearly established

Gon>conformities may be identified by any cre$ member at any time orduring an '+' internal audit Gon>conformity reports should be availablefor use by any cre$ member $ho identifies a non>conformity "his formdescribes the non>conformity# proposed corrective actions# and correctiveactions ta en .t lists and has the signatures of the person*s, involved inthe detection and correction of the non>conformity %orrective action

procedures should be established $ithin the perating 4rocedures of thecompany8s '+'

"rea! to <e

CoveredBegulatory

Accident# .n6ury# or =eath > @ % @ % 33 % 33 %Begulatory

Gon>%onformity

.n6uries *non>Beportable,Accidents *Gon>Beportable,

Gear>+iss %asualties

Chapter 1/Maintenance

OverviewIntroduction "he %ompany should ensure that maintenance procedures as $ell as the

procedures for each vessel are implemented according to the requirementsof 33 %<B 9@ 250*6,

Implementation "he company ensures that each ship-

• is maintained in accordance $ith relevant rules and regulations#including additional company requirements

• holds inspections at appropriate intervals

• reports non>conformities $ith possible cause *if no$n,

• ta es corrective actions and

• maintains records of inspections# non>conformities# and correctiveactions

• "rea! o <eCovered

"rea! o <e

Begulatory

=rydoc and internal e aminations > @ % @ % @ % @ % @ % @ % @ % @ % @ %<B 17@ 1@

Covered

=continued>

'anitary inspections > @ % @ % @ %<B 17@ 700 through 710

.'+

'ource of spare parts

Gon Begulatory

Equipment maintenance not covered in regulations shall be to themanufacturers recommendations At a minimum# the follo$ing itemsshould be covered-

4ropulsion engine*s, lubrication and other preventative maintenance

'teering gear preventative maintenance

Fattery maintenance

Gavigation equipment maintenance

(round tac le maintenance

Equipment mar ing maintenance

4assenger and cre$ space maintenance

Chapter 11'ocumentation

OverviewIntroduction .n accordance $ith 33 %<B 9@ 250* ,# a company should develop policies

to control all documents and data relating to the '+' All validdocuments need to be available in appropriate# designated locations%hanges to documents should be revie$ed and approved by authori)ed

personnel# at $hich time# outdated versions $ill be promptly destroyed

$ocumentMaintenance

%ontrol and maintenance of the '+' documentation is important to theeffectiveness of the system '+' documentation includes only $hat isnecessary to cover the application of the system and is organi)ed in an

clear and effective $ay n board the vessel# the master is responsible forthe control of these documents A designated person ashore should alsomonitor the '+' documents

$ocument Chan%e! Bevisions to e isting documents should be readily identifiable# andrelevant personnel# including personnel ashore# should be notified of allchanges 4ersonnel affected by each change should be involved in definingand implementing ne$ policies bsolete documents should be removedand destroyed nly the person responsible for the documentation controlshould retain copies of obsolete documents

e uired$ocument!

A listing of all required documents can be found in "able 9@ 250 of 33%<B *see follo$ing page,

33 C able -(72&.

"ype of =ocuments and Beports 'pecific Bequirements

a, 'afety and Environmental policy statements

*1, +eet the ob6ectives of 33 %<B 9@ 230 and*2, Are carried out and ept current at all levels of the company

b, %ompany responsibilities andauthority statements

*3, "he o$ners name and details of responsibility for operation of the company andvessel*s,

* , Game of the person responsible for operation of the company and vessel*s,# if notthe o$ner

*5, Besponsibility# authority# and interrelations of all personnel $ho manage# perform#and verify $or relating to and affecting the safety and pollution preventionoperations of the company and vessel*s, and

*@, A statement describing the company8s responsibility to ensure adequate resourcesand shore>based support are provided to enable the designated person or

persons to carry out the responsibilities of this subpartc, =esignation in $riting of a

person or persons to overseethe safety management systemfor the company and vessel*s,

*7, ?ave direct access to communicate $ith the highest levels of the company and $ithall management levels ashore and aboard the company8s vessel*s,

* , ?ave the $ritten responsibility to monitor the safety and environmental aspects ofthe operation of each vessel and

*9, ?ave the $ritten responsibility to ensure there are adequate support and shore> based resources for vessel*s, operations

d, :ritten statements that definethe +aster8s responsibilitiesand authorities

*10, %arry out the company8s safety and environmental policies*11, +otivate the vessel8s cre$ to observe the safety management system policies*12, .ssue orders and instructions in a clear and simple manner*13, +a e sure that specific requirements are carried out by the vessel8s cre$ and

shore>based resources and*1 , Bevie$ the safety management system and report non>conformities to shore>based

managemente, :ritten statements that the

+aster has overridingresponsibility and authority toma e vessel decisions

*15, Ability to ma e decisions about safety and environmental pollution and*1@, Ability to request the company8s help $hen necessary

f, 4ersonnel procedures areresources $hich are availableashore and aboard ship

*17, +asters of vessels are properly qualified for command*1 , +asters of vessels no$ the company8s safety management system*19, $ners of companies provide the necessary support so that the +aster8s duties can

be safely performed*20, Each vessel is properly cre$ed $ith qualified# cerificated# and medically fit

seafarers complying $ith national and international requirements*21, Ge$ personnel and personnel transferred to ne$ assignments involving safety and

protection of the environment are properly introduced to their duties*22, 4ersonnel involved $ith the company8s safety management system no$ the

relevant rules# regulations# codes# and guidelines*23, Geeded training is identified to support the safety management system and ensure

that the training is provided for all personnel concerned*2 , %ommunication of relevant procedures for the vessel8s personnel involved $ith the

safety management system is in the language*s, understood by them and*25, 4ersonnel are able to communicate effectively $hen carrying out their duties as

related to the safety management system



"ype of =ocuments and Beports 'pecific Bequirements

g, ;essel safety and pollution prevention operation plansand instructions for eyshipboard operations

*1, =efine tas s and*2, Assign qualified personnel to specific tas s

h, Emergency preparedness procedures *3, .dentify# describe# and direct response to potential emergency shipboard situations* , 'et up programs for drills and e ercises to prepare for emergency actions and*5, +a e sure that the company8s organi)ation can respond at anytime# to ha)ards#

accidents# and emergency situations involving their vessel*s,i, Beporting procedures on

required actions*@, Beport non>conformities of the safety management system*7, Beport accidents* , Beport ha)ardous situations to the o$ner or company and*9, +a e sure reported items are investigated and analy)ed $ith the ob6ective of

improving safety and pollution prevention 6, ;essel maintenance

procedures *"hese proceduresverify that a company8svessel*s, is maintained inconformity $ith the provisionsof relevant rules andregulations# $ith any additionalrequirements $hich may beestablished by the company ,

*10, .nspect vessel8s equipment# hull# and machinery at appropriate intervals*11, Beport any non>conformity $ith its possible cause# if no$n*12, "a e appropriate corrective actions*13, Heep records of these activities*1 , .dentify specific equipment and technical systems that may result in a ha)ardous

situation if a sudden operational failure occurs*15, .dentify measures that promote the reliability of the equipment and technical

systems identified in paragraph *6,*5,# and regularly test standby arrangementsand equipment or technical systems not in continuous use and

*1@, .nclude the inspections required by this section into the vessel8s operationalmaintenance routine

, 'afety management systemdocument and datamaintenance

*17, 4rocedures $hich establish and maintain control of all documents and datarelevant to the safety management system

*1 , =ocuments are available at all relevant locations i e # each vessel carries on boardall documents relevant to that vessel8s operation

*19, %hanges to documents are revie$ed and approved by authori)ed personnel and*20, utdated documents are promptly destroyed

l, 'afety management systeminternal audits $hich verify thesafety and pollution preventionactivities

*21, 4eriodic evaluation of the safety management system8s efficiency and revie$ of thesystem in accordance $ith the established procedures of the company# $henneeded

*22, "ypes and frequency of internal audits# $hen they are required# ho$ they arereported# and possible corrective actions# if necessary

*23, =etermining factors for the selection of personnel# independent of the area beingaudited# to complete internal company# and vessel audits and

*2 , %ommunication and reporting of internal audit findings for critical managementrevie$ and to ensure management personnel of the area audited ta e timelyand corrective action on deficiencies found



Chapter 1Company ,erification and $eview

OverviewIntroduction A policy should be developed to ensure that procedures developed $ithin

the '+' are follo$ed properly and in accordance $ith regulations

Policy4eriodic evaluations should be scheduled to e amine the efficiency of the'+' and to revie$ the system in accordance $ith the established

procedures of the company "he methods for communicating the findingsof the internal audits should be established to enable critical managementrevie$ and to ensure management personnel of the area audited ma e anddocument timely corrections of deficiencies found

Internal "udit"he internal audit provides the company $ith a tool to guarantee that the'+' currently implemented is being enforced and maintained throughoutthe company A designated person should ensure that scheduled audits are

performed and any non>conformities are documented and remedied

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