(Microsoft Word - 09. 2nd insert - Domestic SMS Guidence template by JohnKirkpatrick


									Guidance Notes

          Domestic Shipping

       Safety Management System


1.0    General

2.0    Safety and Environmental Protection Policies

3.0    Company Responsibility and Authority information

4.0    Designated Person(s)

5.0    Master’s Responsibility and statement of Masters Overriding


6.0    Resources and Personnel

7.0    Development of Plans for Shipboard operations

8.0    Emergency Preparedness

9.0    Reporting of Accidents, Hazardous Occurrences and Non SMS

       non conformances

10.0   Vessel and Equipment Maintenance procedures

11.0   Documentation - approval, control and location.

12.0   Company Audits, verification, and evaluations.

13.0   Maritime Security.

EU 336/2006, requires the application of the ISM Code to vessels flying the flags of
member states

Article 3.1 (b), of the Regulation, now requires that the ISM code be implemented on
vessels operating domestically within the Community, by March 2008.
It repeals the previous regulation EC 3051/95, which applied to companies trading
vessels over 500 gross tonnage on international services.

“Domestic shipping" means any transport service by ship in sea areas from a port
facility of a Member State to the same port facility or another port facility within that
Member State.

The purpose International Safety Management Code for the Safe Operation of Ships
and for Pollution Prevention (ISM) Code, is to establish a management system within
shipping companies to ensure the safe operation of their vessels, and the prevention
of pollution by ships.

The Code is produced by the International Maritime Organisation (IMO) and included
in chapter IX of the International Convention for the Safety of Life at Sea (SOLAS).
Implementation of the code is obligatory for all member states, the code was adopted
in 1993, and became mandatory on all international shipping by 2002.

Regulation 336 / 2006 extends application of the ISM Code, to cover Community
ships operating either internationally or domestically, regardless of their flag.

Compliance with Regulation requires owners of domestically trading vessels to
implement a Domestic Safety Management system (DSM).
The DSM is based on the ISM Code, (Parts A & B.)

Implementation of the DSM requires owners to produce an approved Safety
Management System (SMS) for both their vessel and shore based operations
including Company Offices.
1.0                   General

These guidance notes, in conjunction with associated template are intended to assist
owners of domestic trading vessels produce a Safety Management System (SMS)

   •   Is specific to their own vessel
   •   Allow owners produce, modify, and retain control of the SMS.
   •   Reflects the nature and area of their operation
   •   Accounts for seasonal aspects of their operations
   •   Acts as a tool to assist in the safe and efficient operation of their vessel
   •   Assists in compliance with Art 3.1 (b) of EC Regulation 336/2006.

The template provides a bare structure or framework for the SMS, Owners /
Operators must populate the various sections of the template with policies and
procedures that are specific to their own operation and vessels.

Many owners already have existing policies and procedures in place, to operate their
vessels, these should where possible be used and included in the template for the

To assist owners, both the template and guidance will be made available in electronic

The guidance section is laid out in a manner identical to the template, but contains a
series of relevant guidance notes, (red Italics) and worked examples of checklists
and documents, to assist owners populate the SMS Template.

Examples of procedures are included within the notes, not all of which will apply to
individual vessels, given the differences in type, size, location, and trade.
Owners must decide on which procedures are relevant to their operation.

These examples may be used to populate the template, and should be modified to
reflect an individual company’s specific operation, whereby items not relevant to a
vessel may be deleted, or additional items incorporated as required.

There is no obligation on owners / operators to utilise any of the above, and
they remain free at all times to produce their own SMS for approval by the
2.0          Safety and Environmental Protection
             Statements and Policies


This section contains a company’s safety and environmental statements, in
addition to identifying its policies and detailing them.

Examples of safety and environmental statements are included below, in
addition to suggested Company Policies, and associated bullet points to assist
owners create their own company specific versions.

Owners should expand the above policy list, to include additional policies that
are relevant to the safe operation and pollution prevention within their own

Policy Statements should be short, concise and direct, and for ease of
reference should all be contained within this section.
2.0   Safety and Environmental Protection
      Statements and Policies

      Company Safety Policy Statement

      Company Environmental Policy Statement –

      Company Policies

            Alcohol and Drugs

            Smoking on board

            Disability Access

            Anti Harassment and Discrimination

            Marine Security

            Personal Protection Equipment

            Oil Pollution

            Noise pollution

            Engine Emissions


            Use of Anti Fouling Paints

            Carriage of Dangerous Goods

            Maintenance Policy

            Company Audit schedules

            Towing Operations

            Safety of Navigation in areas of Operation

            Tendering Operations

            Document Control

            Reporting of Hazardous Incidents
        Company Safety Policy - Statement
It is [Insert name of Company] policy, to provide a workplace which is free from all

recognised hazards, and to conduct its activities, taking full account of the health and

safety of its employees, and of all persons using or connected with the Company.

In implementing this policy, [Insert name Company] will ensure that all its vessels will

at all times be:

    •   Operated by qualified staff

    •   Properly maintained

    •   Comply with all relevant legislation

The Company undertakes to provide sufficient resources to allow its Staff comply

with this policy.

The Company will undertake an assessment of risks to the health and safety of its

workers and others affected by its operations, and will take the necessary measures

to minimise any risks identified.

Safety, and Accident Prevention are operational responsibilities, and Company policy

requires each employee, both afloat and ashore, at all organisational levels to be

responsible for the prevention of work related injuries, and illness, by adhering to the

full and consistent application of Company policy, guidelines and best practice.

Responsibility for ensuring that stated policies are implemented and maintained by

the Company rests with the management, and are implemented by means of:

    •   Office safety meetings, SMS reviews, analysis of accidents.

    •   Vessel safety meetings, Emergency Drills and Exercises, Masters reviews of

        the SMS

    •   Internal and External Audits, of Vessels and Office

    ………………………………….. Director

   Company Environmental Policy Statement
It is [Insert name of Company] policy, to conduct its operations in a manner as to

minimise the risk of causing harm to the Companies operating environment, and to

prevent pollution of any kind as a result of its operations - ashore or afloat.

Company policy requires each employee, both afloat and ashore, at all organisational

levels to be responsible for the prevention of Pollution or damage to the Environment,

and to adhere to all applicable international and national regulations.

The Company undertake to provide sufficient resources to allow management and

staff comply with its Environmental policy.

Responsibility for ensuring that stated policies are implemented and maintained by

the Company rests with the management, and are implemented by means of:

   •   SMS reviews, analysis of pollution incidents.

   •   Emergency Drills and Exercises, Masters reviews of the SMS

   •   Internal and External Audits, of Vessels and Office

   ………………………………….. Director

Company     Safety                   and         Environmental
Operational Policies

    Note: Operators may use their own existing policy, add / deleted
    the following policy headings, or modify the content to suit their
    own specific Company operation requirements

    Alcohol and Drugs*

    Policy should reflect as a minimum, the following points and
    should be expanded to produce a Company Specific policy

        •   State Company Policy - i.e. No Alcohol or Drugs allowed on
            board.(Unless sold via current vessels bar licence)
        •   Crew are not permitted on board if under the influence of
            Alcohol or Drugs
        •   Specify what action will be taken against Crew found to be
            under the influence
        •   Specify policy for dealing with passengers found to be under
            the influence.
        •   Testing policy for Drink & Drugs?

    Smoking on board*

    Policy should reflect as a minimum, the following points and
    should be expanded to produce a Company Specific policy

        •   Is vessel a no smoking area?
        •   If smoking is allowed, specify where it allowed and when it is
            allowed? (Or not allowed e.g. during bunkering)
        •   Are Crew allowed smoke while on duty?
        •   Is there an designated smoking area available

Disability Access*

Policy should reflect as a minimum, the following points and
should be expanded to produce a Company Specific policy

   •   State Companies policy on Disability access
   •   Identify to what extent company vessels can comply, e.g.
       subject to Tidal conditions, Structural or operational conditions
   •   Identify what specific disabilities can be accommodated
   •   Identify any specialist equipment provided and crew training
       provided by Company
   •   What is the Company’s complaints procedure in relation to
       Disability Access to its vessels.

Anti Harassment and Discrimination *

Policy should reflect as a minimum, the following points and
should be expanded to produce a Company Specific policy
   •   State Company on Harassment and Discrimination
   •   Define elements of Harassment, e.g. bullying, intimidation,
       Sexual, etc, and of Discrimination, e.g. on Nationality,
       Regional, Profession, Religion, etc,
   •   Define action taken by Company to deal with reported cases.
Wearing of Personal Protective Equipment

Policy should reflect as a minimum, the following points and
should be expanded to produce a Company Specific policy

   •   Personal Protective Equipment to be provided by Company
   •   PPE equipment must be used as appropriate by Company
   •   Company Staff responsible for care of any issued PPE
   •   Reporting of damaged or missing equipment
   •   Penalties for refusal to wear / use PPE by Company staff
   •   Crew to wear Company issued uniform, e.g. Hi-Visibility
       Tabards, Tee shirts, Jackets etc, to allow them be easily
       identified by passengers, in the event of an on board incident

Oil Pollution

Policy should reflect as a minimum, the following points and
should be expanded to produce a Company Specific policy

   •   State Company policy in relation to avoidance of any pollution
       due to oil discharge
   •   State how oily bilges are to be disposed of.
   •   Identify who is responsible on board for control of oily bilges.
   •   Are there procedures to control amounts of oil carried, and
       contain Machinery space oil leaks etc.?
   •   Is there any specialist oil pollution control equipment carried,
       e.g. oil socks, etc?
Bunkering of Vessel:

Policy should reflect as a minimum, the following points and
should be expanded to produce a Company Specific policy

   •   Company recognises risk to environment while bunkering and
       has put in place measures to eliminate this risk
   •   No Smoking or Naked lights allowed in immediate vicinity of
   •   Observance of Local Bylaws
   •   No Passengers / visitors allowed on board during bunkering
   •   Only trained and qualified and competent staff will oversee and
       conduct bunkering of vessel
   •   Company nominates a dedicated employee to supervise
   •   Bunkers will only occur at suitable locations, and during
       satisfactory weather and tidal windows.
   •   Vessels will be adequately moored and lines monitored by staff
       during bunkering
   •   Company Bunkering checklist to be adhered to and signed -
       records to kept on file for a defined period of time
   •   Company to make identify and make available on board details
       of relevant emergency services to contact in the event of a

Reporting of Incidents

Policy should reflect as a minimum, the following points and
should be expanded to produce a Company Specific policy

   •   Who is responsible for reporting vessels incidents
   •   What incidents must be reported and recorded, e.g. loss of life,
       accidents, MOB, grounding, collisions, near misses, fire,
       mechanical breakdown etc
   •   Who ashore in the Company must be informed
   •   What external organisations must be advised, e.g. MSO, Coast
       Guard, Gardaí etc
   •   How such incidents are recorded, where records are stored
       and for how long (will require to be logged in the Safety
       Management System - Vessel Logbook)
Marine Security

Policy should reflect as a minimum, the following points and
should be expanded to produce a Company Specific policy

   •    Commitment to ensuring Security of vessel, passengers and
   •    Vessels carrying 100 passengers or more, and Cargo vessels
        greater than 500GT will have a dedicated approved Ship
        Security Plan, and provide dedicated training for Crew.
   •    Vessels carrying less than 100 passengers, and Cargo vessels
        of less than 500GT will implement the Official Guidance
        contained in Marine Notice 16 of 2007 (Already written into Ch.
        13 of the SMS Template)

Policy should reflect as a minimum, the following points and
should be expanded to produce a Company Specific policy

        •   Limitation of noise levels from plant
        •   Avoidance of nuisance noise levels
        •   Proper maintenance of Machinery
        •   Provision of protection to staff exposed to high noise levels
            e.g. ear defenders in Machinery spaces

Engine Exhaust Emissions
Policy should reflect as a minimum, the following points and
should be expanded to produce a Company Specific policy

   •    State company policy of avoidance of excessive exhaust
   •    Avoiding unnecessary operation of engines when alongside
   •    Correct loading of engines
   •    Correct handling of vessel to avoid overloading on engines
   •    Correct maintenance of Engine fuel systems
Garbage Management
Policy should reflect as a minimum, the following points and
should be expanded to produce a Company Specific policy

   •   State Company policy on waste management
   •   Identify Company waste management plan
   •   On board warning notices prohibiting dumping of garbage
   •   All Garbage to be transferred ashore suitable bagged and
       sorted for disposal by an approved means.
   •   Avoid generation of on board garbage e.g. bulk wrapping
       returned to suppliers, avoid used of disposable cups etc,

Anti Fouling Paints
Policy should reflect as a minimum, the following points and
should be expanded to produce a Company Specific policy

   •   Use of antifouling paint based on current legislation, local
       environment, and advice from paint manufacturers

Carriage of Dangerous Goods
Policy should reflect as a minimum, the following points and
should be expanded to produce a Company Specific policy

   •   State Company Policy on carriage of dangerous goods? i.e.
       does Company carry Dangerous Goods?
   •   Has Company obtained approval from the MSO for carriage of
   •   Provision of specific training for Company Staff in DG.
Tendering Operations

Policy should reflect as a minimum, the following points and
should be expanded to produce a Company Specific policy

   •   Need to conduct tender operations
   •   Subject to application, review and approval by MSO
   •   Subject to Marine Notice 37 / 2003
   •   Creation of, and adherence to a Tendering Safety Plan

Safety of Navigation in Areas of Operation

Policy should reflect as a minimum, the following points and
should be expanded to produce a Company Specific policy

   •   Compliance with International Rules      for   Prevention   of
       Collisions (ColRegs)
   •   Use of current and updated Area Charts
   •   Use of fully qualified Crew
   •   Risk assessment of Area of Operation in terms of Navigational
   •   Risk Assessment of landing areas and piers, considering
       approaches, tidal conditions, weather, safe access for
       passenger and crew, satisfactory means of berthing vessel
       alongside, and adequate space for vessel to lay alongside
   •   Identify those ports considered suitable for use by company
   Company vessel Maintenance Policy

   Policy should reflect as a minimum, the following points and
   should be expanded to produce a Company Specific policy

   Vessels and equipment to be maintained based on:
   •   National Legislation
   •   Manufacturers Instructions and Guidance
   •   Best Industry Practice
   •   Additional requirements of an individual company.

Complying with the above requirements operators undertake to:

   •   Ensure maintenance inspections are undertaken at appropriate
   •   Report any non conformity (defects)
   •   Ensure corrective action is taken
   •   Maintain records of the above activities
3.0        Company Responsibility and Authority

 3.1      Registered Vessel’s Owner - Declaration of Operating Company Details

 3.2      Operating Company - Organisational Structure and list of responsibilities


 Art 3 of the ISM Code requires the Registered Owner to advise the

 Administration of details of the vessel’s Operator.

 Section 3.1 below fulfils this requirement, and required the relevant details to

 be included. (Already included in SMS template)

 Art 3 also requires the Company to define and document the command and

 responsibility structure of its operation, Section 3.2 provides for this in the

 form of a basic flow chart, covering both the Company management, and

  3.1          Registered Vessel’s Owner – Declaration of
               Operating Company Details. (ISM 3.0)

Where the Entity who is responsible for the operation of the vessel is not the

Registered Owner of the vessel, the Owner must report the full name and details of

the entity to the Marine Survey Office:

Vessel Name:

Registered Owner:


Name of Vessel Operating Company:

Director / Owner of Operating Company:

Operating Company Address:

Company Declaration of Compliance Certificate No:

…………………….Vessel Registered Owner.


Note: Under the 1955 Mercantile Marine Act, only the registered Owner may apply for and be issued

with a Passenger Vessel Certificate, regardless of who may be operating the vessel in service.
   3.2 Operating Company          - Organisational
       Structure and list of responsibilities

Company Authority and Line of Reporting.

                            Company Directors

                            Company Manager

       Designated Person

                            Vessel Masters

                            Vessel Crew
   3.2          Company Responsibilities
   Operations   Company Directors
                Director with overall responsibility for
                Safety Management Systems

                Company Manager:

                Responsible for Daily implementation of
                Safety Management System.

Vessel          Vessel Masters:
                Name 1
                Name 2

                Contact Mob.                                  Designated Person

                Responsible for operating vessel in           Name
                compliance with safety management             Contact No.
                Has overall authority in decision-making      Responsibility for
                relating to vessels safety and security       monitoring effectiveness
                Must actively enforce SMS on board,           of SMS within Company,
                conduct regular reviews.                      ensures adequate
                                                              resources available, and
                                                              audits are undertaken

                Vessel Crew:

                Responsible for undertaking on-board
                requirements of SMS.
                Ensuring their own safety and that of other
                on board
                Operating vessel in a safe manner and
                protection of environment.
4.0     Designated Person.

The ISM Code requires that a designated person be identified, with the
authority and responsibility to ensure the Company makes adequate resources
available, and monitors the performance of the ISM within the Company,
particularly in terms of safety and pollution prevention of vessels.

A designated person must have access to the highest levels of Company
management, and is responsible for bringing any shortcomings within the
system to the managements attention.

The following page should be completed and included in the SMS Template to
identify the Company Designated Person.
4.0 Designated Person.                     (ISM 4.0)

Details of The Designated person for [name company]


Contact Details.



Within [Name of company] the Designated Person is responsible for:

    •    Ensuring the safe operation of each company vessel,
    •    Providing a link between those in shore based operations and vessel.
    •    Monitoring the safety and pollution aspects of the operation of each ship
    •    Ensuring adequate resources and shore-based support are applied as
5.0           Master’s Responsibility and Statement
              of Overriding Authority

5.1           Statement of Masters Overriding Authority

5.2           Masters Responsibilities under the Safety Management System

The ISM Code section 5.0 requires the Company to document the Masters
Responsibility under the ISM Code,


By means of a clear statement in the SMS, emphasize the Masters over riding
authority in relation to all decisions affecting Safety, Security, and Pollution
prevention on board his vessel.

The following sections 5.1 & 5.2 fulfil these requirements and may be included in
the SMS template once the relevant Company details have been included.

Part of the Masters Duties is to conduct a Masters Review of the ISM system, an
example of an Aide Memoire is included in the following pages.
5.1 Masters Responsibilities under the Safety
    Management System (ISM 5.0)

[Insert Name of Company] defines the responsibilities of its vessel Masters as

   •   To be fully familiar with the contents of the Safety Management System

   •   Responsible for crew familiarization training on board his vessel

   •   Be active in implementing the safety and environmental protection polices of

       the Company on board his vessel.

   •   To motivate all crew in observing and using that policy

   •   Issuing appropriate orders and instructions in a clear and simple manner.

   •   Verifying that all specified requirements are observed and enforced.

   •   Under taking regular reviews of the Safety Management System, and

       reporting its deficiencies or shortcomings to the shore based management

5.2 Statement of Masters Overriding Authority

The [Insert Name of Company] establishes as an essential element of its Safety
Management System, that the Master has in all instances the responsibility and
overriding authority to make decisions, based on his professional judgement, with
respect to the safety of his vessel and those aboard, and for pollution prevention.

The Master has the authority to request the Companies assistance as may be

MASTERS HAND OVER REPORT                          (ISM 5.0)

M/V:                                                  Was handed over on:
From Captain:                                                To Captain:

Vessel Record Book up to date                            Yes             No
Charts and Publications corrected to date                Yes             No
Safety and Environmental meetings up to date             Yes             No
Drills conducted as required                             Yes             No
Publications Missing (if yes please list on reverse      Yes             No
with number of the publication missing)
Vessel Accident Report      Yes         No                 Date of Report:
Damage Report                Yes         No                Date of Report:

Certificates / Surveys / Safety Equipment (list any overdue or becoming due within 30 days, and
outstanding defects for attention) Remarks

General Condition of Vessel:

Work in Progress:

Outstanding Repairs / Defective Items                 Action Taken:

Outstanding Nonconformities                           Action Taken


Signature:                                            Signature:
Incoming Master:                                      Outgoing Master:


Date:                               Vessel:                           Name of Master:

Personnel Present:
Name:                                                Rank:

Name:                                                Rank:

1.      Review of Safety Meeting Minutes
Review the file of Safety Meeting Reports and check off the following items

Y    N   Vessel has a complete file of Safety Meeting Reports.
Y    N   All required safety meetings have been held.
Y    N   Content of Safety Meetings were relevant to vessels operation.
Y    N   Lessons learned were reviewed with crewmembers.

The purpose of the Masters review of the Safety Meeting reports is to make sure that all required
topics have been covered, and that the Safety Meeting is serving its purpose as a primary part of a
successful on board Safety and Accident Prevention Program. The Master should describe any
required support and any changes that need to be made. Critical to the functioning of the Vessel
Safety Management System is the determination by the vessel’s Master, that all its components are
working properly and producing the desired result.

Actions Required or Suggested:
2.   Review of Pollution Prevention Procedures
Review the file of Pollution Prevention Planning procedures, and check off the following items

Y    N   Was a Pollution Prevention Meeting held?
Y    N   Are the fuel transfer / loading policies /procedures reviewed periodically?
Y    N   Are the oily waste handling policies /procedures reviewed periodically?
Y    N   Are the waste management policies / procedures reviewed periodically?
Y    N   Has adequate Pollution Planning been done aboard this vessel?
Y    N   Has this vessel had any pollution incidents of any type, spill, hazardous materials, or improper
         waste management incidents, in the previous year?

The purpose of the Masters review of the Pollution Prevention Planning procedures is to make sure
those elements of a vessels operation that may result in pollution are scrutinised, and amended as
The Master should include an opinion on the effectiveness of the pollution prevention and describe
any changes that need to be made. The Master should also describe any required shore-base support
that the vessel benefits from in the area of pollution prevention.

Actions Required or Suggested:
3.   Review of Accident / Near Miss / Injury Reports
Review the file of Accident / Near Miss / Injury Reports and check off the following items

Y N Vessel has a complete and readily accessible file for Accident / Near Miss and Injury
Y N These reports have generated Safety Analysis / Hazard Register updates in the
    appropriate cases
Y N Each report has been investigated and an accident report sent to the appropriate
    management and authorities

The Master of each vessel should review the accident / near miss / injury reports to determine
the success of the vessel safety program. Each accident / near miss / injury report should
generate, at a very minimum, some type of on board corrective action. The Master should
include any additional support that is needed aboard the vessel in the way of training,
material, or changes in procedures. If on board corrective action has been ineffective, and
assistance from the shore management is required, then the Master should so comment.

Actions Required or Suggested:
4.   Review of Findings from Flag Surveys / Inspections

Y N Does the vessel have any Flag survey operational findings?
Y N Does the vessel have any outstanding Survey deficiencies

If the answer to either of the above is yes, then the Master should include in his report the
closure of the items / additional materials or technical information required to close any items
that remain open. The Master should state in this report any outstanding items and give the
details of any requirements for closure.

Actions Required or Suggested:
5.   Review of Audit Findings

The Master of each vessel should review the audit findings from either internal or external
audits. The Master should describe plans for closing any outstanding items. Changes that
will prevent the reoccurrence of any audit deficiencies should also be described. Any needed
technical expertise of logistical support required should be requested.

Actions Required or Suggested:
6.   Review of Corrective Action
Review any Corrective Actions that the Vessel has requested

Y N Has the vessel requested any Corrective Actions?
Y N Has the response to Corrective Action requests been timely and sufficient?

The Master of the vessel should describe any outstanding requests for Corrective Action, how
long they have been outstanding and what progress if any has been made toward their
implementation. The Master should further describe any improvement in Corrective Action
procedures that the Master considers necessary

Actions Required or Suggested:
7.   Overall effectiveness of Safety Management System and Suggestions for

The Master shall report on the functioning of the system aboard the vessel, with a particular
emphasis on reports of non-conformity, unfilled material needs, corrective action requests,
and any other matters that the Master considers important.

Actions Required or Suggested:
        6.0 Resources and Personnel
              6.1    Qualification Requirements for Masters
              6.2    List of Familiarization Training provided for new Staff
              6.3    Records of Familiarization
              6.4    Training Requirements for Staff
              6.5    Records of Training completed by Staff
              6.6    Statement of Vessels working language(s)
              6.7    Job Descriptions and responsibilities of Master and Crew


This section of the ISM Code requires the Company to provide details of its
requirement, to ensure its vessels are manned by suitably qualified, trained,
and Medically fit seafarers.

It also requires the Company to make provision to ensure staff receive
appropriate familiarization training and instruction in the nature of their duties
and safety equipment carried on board,

Furthermore the Company must identify what staff training is required to
undertake in order to support the Safety Management System, and maintain
associated records.

The SMS should also contain a brief description of the Masters, Officers, and
Crew’s duties, functions, and responsibilities.

The following formats may be used to present the required information as part
of the Company SMS.
6.1 Qualification Requirements for Masters

[Company to state minimum qualifications and training required to qualify as

Master on vessel, taking into account number of passengers carried <100>,]

Qualification Requirements for Engineer Officer

[Company to state minimum qualifications training required to qualify as

Engineer on vessel, taking into account Kw Rating of vessel,]

Qualification Requirements for Crewmember

[Company to state minimum qualifications and training required to sail as

Crewmember on board,]
6.2   List of Staff Familiarization Training (ISM Code 6.0)

All NEW crewmembers on joining to the vessel, and ALL crewmembers
annually to be shown the vessel layout, and location of following essential
Emergency Equipment, and have their emergency assignments identified and
explained to them.

      Life rafts
      Adult Life Jackets
      Children’s Lifejacket
      Emergency Escapes
      Fire Extinguishers
      Fire Pumps and Hoses
      First Aid Kit
      Rocket Line Thrower
      Means of Man overboard Recovery
      Rescue Boat, equipment, and means of launching.
      Immersion Suits

Emergency Assignments (Muster List) – Each Crewmember’s Specific Duties
      Abandoning the vessel
      Fighting fires in different locations onboard the vessel
      Recovering an individual from the water
      Crowd Control in Emergency
      Launching survival craft / Rescue Boats
      Donning immersion suits.
      Use of fireman’s outfit and self-contained breathing apparatus
      Making a voice radio distress call (VHF)
      Using visual distress signals (Flares)
      Activating the general alarm
      Instructing Passengers in donning lifejackets and embarking life-rafts
      Minimizing the effects of unintentional flooding
      Shut off and crossover valves
      Engine: on/off, steering, gear selection, etc
      Emergency instructions: Life raft operations, Life
      EPIRB: need, location, function, deployment, what not to do
      Radio(s): need, location, function, use
      Electronic position fixing devices: function, how to find position

Vessel Name:                                              Date of Vessel Safety Familiarization

Employee’s Name: (Print)                                  Rank:

When a new crewmember joins a vessel, the Master shall brief the employee on the location and use of the vessel’s
specific safety equipment, and the Safety and Environmental policies of the Company which all employees are required to
follow. Items listed below are intended as a guide for the Master and describe only the minimum that is necessary to
ensure the safety of employees serving on vessels.
The following topics should be covered prior to the Vessel leaving port:

Storage location and use of personal flotation devices. This is to include the proper method of donning and
adjusting the specific type of personal flotation devices onboard the vessel.
Location, type and use of life rafts.
Location, type and use of all fire fighting equipment, including fixed &/or portable fire pumps as fitted.
Location, type and use of all life saving equipment.
Location of all other emergency equipment.
Responsibilities and duties in an emergency as outlined by the vessel’s Muster Station.
Importance of listening to and obeying all of the Master’s orders.
Location of emergency stations.
Location of General Alarm Switches.
Familiarization with the Company’s Safety Management System.
Familiarized with his / her specific duties.
Safety and Familiarization tour of vessel, including Main Deck, Wheelhouse, Accommodation and Engine
Room where relevant
Reporting procedure for accidents, near misuses or unsafe acts or conditions.
Verification of the employee’s documents including basic safety training and current medical certificate.
Security Awareness Training / Duties

I certify that I have received onboard safety and training familiarization, as outlined above.

Employee’s Name (Print) _________________________________

Vessel Name: ___________________________________________

Signed: _____________________________________________                           Date: ________________________

Master’s Signature: ___________________________                      Date: __________________________
6.3       Records of Familiarization

Operator to specify in this section where

      •   Records of Familiarization undertaken under 6.2 are recorded,

      •    Where records are kept, e.g. Company office, and

      •   Who is responsible for maintaining records within the Company.

6.4        Training Requirements for Staff

Owner / Operator to list relevant Company Training required for Master and

Crew on vessel, including where appropriate

      •   Fire Fighting

      •   Personal Sea Survival

      •   First Aid

      •   Crowd Control

      •   Pollution Control

      •   Lifting Equipment

      •   Dangerous Cargo

      •   Maritime Security

      •   Radio Operations
6.5 Records of Training completed by Staff

Operator to identify in this section where

    •   Records of Training on undertaken under 6.4 are recorded,

    •   Where records are kept, e.g. Company office, and

    •   Who is responsible for maintaining training records within the


6.6 Statement of Vessels working language(s)

Operators to specify which Language is used as the working language of the

vessel in terms of vessel operation, safety management, crowd control, by

crew with designated safety / security / pollution prevention duties.


The specified Working Language of a vessel must be one that is understood

and spoken, proficiently by all members of the Crew, and which is used as the

working language of the vessel.
7 Ship Board Operations and Procedures

The Company must establish procedures for the preparation of plans and

instructions for key shipboard operations, concerning the safety of the ship

and for prevention of pollution.

These may take the form of suitable checklists, and may cover any of the

following topics, or additional operations specific to a vessel.

Tasks should be defined and allocated to qualified personnel.

Examples of Shipboard Operation Checklists

Daily Operational Checklist

Weekly Operational Checklist

Life Saving / Fire Fighting Equipment weekly inspection

Passenger Counting

Bunkering / refueling Checklist

Pre Departure Checklist

Vessel Start Up Check List

Vessel Shutdown Checklist

Anchoring Checklist

Permit to work Checklist for Hotwork/Working aloft / Tank Entry / Diving operations
Safety Management System Maiintenance Sheet
Safety Management System Ma ntenance Sheet

Daiilly Checklliist ((IISM 7..0))
Da y Check st SM 7 0
Vessel:                                       Date/Week:

Person Responsible:

Item to Check                          Mon   Tue    Wed     Thu   Fri   Sat   Sun
Public Address System
Alarm System
Internal Communications - Radio’s
Navigation Equipment
VHF Radio
Propulsion Controls
Navigation Lights
Wheelhouse Clean and Organized
Vessel Logs Updated
Main Engines Oil and Coolant
Fuel Tank contents checked
Main Engine Operating Temp/Pressure
Generators Oil and Coolant
Generator Operating Temp/Pressure
Bow Thruster Oil and Coolant
Bow Thruster Operating Temp/Pressure
Throttle Linkage
Shaft Packing Glands
Steering System
Battery Charging
Bilge Pump Set Up
Bilges Dry
Waterproof Torch available
Emergency Lights
Water Tight Doors/Hatches

Mastter Siignatture::…………………...
Mas er S gna ure …………………                           Datte::……..
                                                   Da e ……
Safety Management System

Weeklly Checklliistt – IInspecttiion,, Testtiing,, Maiinttenance ((IISM 7..0))
Week y Check s – nspec on Tes ng Ma n enance SM 7 0

Vessel:                                               Crewmember responsible:

Item               Date     Inspection    Date       Inspection      Date       Inspection
                   Initials Maintenance   Initials   Maintenance     Initials   Maintenance
Main Engine


Bow Thruster

Life   Safety

Bilge System

Voids Dry




Filters      All

Lube         Oil




Mastter Siignatture::…………………...
Mas er S gna ure …………………                                    Datte::……..
                                                            Da e ……
Safety Management System

Liife Saviing //Fiire
 L fe Sav ng             F re      Fiightiing
                                   F ght ng         Equiipment
                                                    Equ pment            Weeklly
                                                                         W eek y
IInspectiion ((IISM 7..0))
  nspect on SM 7 0

Vessel:                                             Crewmember responsible:

Item             Date     Inspection    Date       Inspection      Date       Inspection
                 Initials Maintenance   Initials   Maintenance     Initials   Maintenance
Life Jackets

Life Rafts


Rescue Boat &

Life Buoys

Fire Stations


Overboard Eq.


Fire Dampers

Fire Doors




First Aid Kit

Survival Suits

Mastter Siignatture::…………………...
Mas er S gna ure …………………                                  Datte::……..
                                                          Da e ……
Safety Management System

Vessel Pre Departure Checklist (ISM 7.0)

Vessel:                           Location:                    Date:        Time:

EQUIPMENT                         CHECKED     EQUIPMENT                CHECKED OK
Main Engines                                  Navigational Lights
Running & Ready for use                       Depth Sounder
Alarms & indicators operational               GPS
Astern propulsion tested                      Whistle * tested ok
Emergency stop operational
Thrusters                                     E/R Comms * tested ok
Running & ready for use                       Deck Comms * tested ok
Alarms & indicators operational               ITEM                     CHECKED OK
Directional control tested                    Bilge Level
Emergency stop operational
Steering Gear                                 Deck Cargo Secure
Tested Port – Stbd
Emergency Steering available                  Hatches Secure
Weather Forecast checked                      W/T Doors Secure
                                              Log Book Entry Made
Radar                                         BILGE ALARMS CLEAR
Running & available for use
Auto Pilot                                    Notes:
Tested & available for use
Fire Detection Panel
All heads reset and Cleared
Mag Compass
Visible & clear of faults
Error known & accounted for
VHF (Fixed)
Tested & available for use
VHF (Portable)
Tested & available for use
Tested, on & operational
Fire Detector panel Clear
Pre    Departure     Safety                   Signed:
Announcements made
Safety Management System
Vessel Bunker Refueling Checklist* (ISM 7.0)
Vessel:_________                  Date:______                     Port:__________
Product Loading:______________

Storage Tank Details
Tank      Product     Tank     Tank                      Start   Finish    Tank Contents
No.       Description Capacity Contents                  Load    Load      After Loading
                               prior    to               Time    Time

Bunker Procedure Checklist:
Item:   Description:                        Y/N   Item   Description:                      Y/N
1       Have potential   health, safety &         8      Are hoses of adequate
        Environmental            hazards                 length, and provided with end
        identified                                       caps.
2       Are Loading      / Discharging            9      Are hose connections and
        Procedures       agreed   with                   couplings correctly made
3       Has Grade,        Quantity   and          10     Are transfer emergency stops
        quality been       agreed    with                procedures     agreed      with
        Supplier                                         supplier, and an agreed
                                                         means of communication in
4       Are staff members engaged in              11     Are means in place to avoid
        the transfer trained and aware                   over     pressurizing    either
        of Company procedures                            hoses or ship pipe work
5       Absorbent materials, scoops               12     Have Ships tanks been
        and buckets available in case                    confirmed         prior      to
        of spillage                                      commencing and capacity
                                                         available agreed on
6       Scuppers adjacent to bunker               13     Are all non smoking and
        station on board plugged                         naked lights requirements
7       Bunker hose inspected and                 14     Is the Code “B” (Day) or all
        noted as in good condition, and                  round     red   light   (Night)
        free of leaks                                    displayed

Officer Responsible for operations
Crew assisting

Signature of Responsible Person___________                                Date:________

                                  This checklist to be held on file for 1 years*
Safety Management System

Passenger Counting & Boarding Checklist (ISM 7.0)

Vessel:_______                                             Date:__________

Item:    Description:                                                 Checked:
1        Passengers Checked on Board
2        Passenger Numbers via Tickets
3        Passenger Numbers via Hand Counter
4        Master advised of final passenger numbers
5        Log Book - final Passenger Numbers Entry made

Company Policy

   •    All Passengers boarding must hold a valid boarding ticket to be collected by a
        crewmember at the foot of the gangway.
   •    No individual will be allowed to board unless in possession of a valid ticket.
   •    No visitors are allowed on board
   •    In addition this crewmember will also count passenger numbers boarding
        using a hand counter or “Clicker”
   •    Passenger numbers counted must be reconciled with passenger tickets
        collected, prior to departure.
   •    The Master is to be specifically informed of the number of passengers on
        board prior to departure.
   •    Passenger & Crew Numbers - including any repair contractors are to be
        entered in the official log book prior to the vessels departure.
   •    Repair or traveling contractors working on board must be given specific
        vessel safety familiarization prior to departure.
         Safety Management System

          Vessel Permit To Work Checklist (ISM 7.0)

          Work to be carried out        ____________

          Location     ___________________

          Authorised Person in Charge               ________

          Date & Validity (Not to Exceed 8 Hours)
          Date:____________ From:_______________                         To:________________

     Names of Persons involved in carrying out work
1.                                                  3.
2.                                                  4.

 Entry into Enclosed or Confined Spaces                                           Yes No     N/A
 1. Has space been thoroughly ventilated
 2. Has the atmosphere been tested and proved safe for toxic, explosive &
 asphyxiating gases
 3. Arrangements made for continuous ventilation throughout the validity of the
 4. Is rescue and resuscitation equipment available at entrance
 5. Responsible person at entrance familiar with equipment
 6. Communications arranged including emergency signals
 7. Access and illumination adequate
 8. Breathing apparatus where used is tested and user trained
 9. All equipment of an approved type
 10. Personnel understand space to be evacuated in case of
 ventilation/communications failure

 Hot work on Board - Welding, Burning etc                                         Yes No     N/A
 1. Are surrounding areas clear of dangerous materials and gas free
 2. Is the ventilation adequate for the area
 3. Is the equipment to be used in good order
 4. Is the Fire Fighting equipment in the area in good order and ready for use
 5. Are fire watches in place and all personnel familiar with their duties
 6. Relevant warning notices displayed
 7. Local authorities informed

 Aloft / Overside Working                                                         Yes   No   N/A
 1. Safety Harnesses of approved type in good condition and user familiar with
 2. Safety Lanyards clipped and attached
 3. All aerials/scanners in the vicinity isolated and warning notices displayed
 4. All cranes/wires in the area immobilised
 5. Proposed securing points for Lanyard adequate
 6. Area below cordoned off
Diving Operations (maintenance only)                                                    Yes No   N/A
1. Appropriate signals displayed
2. Propeller/thruster operations, suction and discharges restricted
3. Port authorities and adjacent vessels informed of operations
4. Is the diving team working to recognised diving codes
5. Nearest decompression facility known by diving team

Machinery or Equipment Repairs                                                          Yes No   N/A
1. Isolated from power and heat source                                                           M
2. All relevant valves shut
3. Warning notices displayed at main isolator and remote /local stop/start positions
4. All relevant departments/personnel informed

Crane / Lifting Operations                                                              Yes No   N/A
1. Is crane suitable for the lift required and in good order
2. Area surrounding operations cordoned off
3. Have Crane operators been trained in use of Equipment?
4. Are all items of Lifting Equipment Certified, and in good condition, e.g Shackles,
Slings, strops etc

         Additional Recommended Actions/Precautions

Certificate of checks (Completed by Authorising Officer)
I am satisfied that all precautions have been taken and that safety arrangements will be maintained
Signed:                                 Position:                      Date/Time:

Certificate of Acceptance (Completed by person in charge)
Signed:                                Position:                          Date/Time:

Permit Closed out
Signed:                                  Position:                        Date/Time:
8 Emergency Preparedness

In this section Operators must:

   •   Create procedures to identify, describe, and respond to potential

       shipboard emergencies

   •   Establish a programme of emergency drills and exercises

   •   Provide measures to ensure the Companies organisation can respond

       to hazards, accidents and emergencies involving its vessels.

The first point involves identifying what shipboard emergencies may affect the

vessel, and create responses to them. A number of the major risks are listed

on the following page, but in terms of a specific vessel, it must be stressed it is

not exhaustive.

Response to these risks may take the format of on board checklists containing

easily and rapidly understood instructions in how to deal with a particular

emergency. A number of examples are contained in the following sheets.

Such Checklists should be laminated and placed on board the vessel for use in

emergencies by the crew. Consideration should be given to using different

coloured sheets of paper e.g. Red for Fire, Blue for flooding etc.

Item 2 above requires the establishing of a Drill roster, an example of which is

shown in the following pages.

Item 3 should detail the chain of command and contacts between vessel and

Shore management to allow an emergency be controlled and managed.
Emergency Drills and Musters – Quarterly Cycle

Emergency Response Checklists:

8.1    Abandon Ship

8.1    Fire on board

8.2    Operation of Machinery Space CO2 flooding system

8.3    Collision

8.4    Grounding

8.5    Man Overboard

8.6    Flooding

8.7    Loss of Propulsion / Steering

8.8    Pollution Incident

8.9    Emergency Radio broadcast / contacting emergency services

8.10    Standing by vessels in distress.

8.11    Emergency Towing Operations.

8.12    Search Routine - Missing Person / Bomb Search / Stowaway

8.13    Medical Evacuation

8.14    Helicopter operations

8.15    Civil unrest on board.

 Drill            Week   Week   Week   Week   Week   Week   Week   Week   Week   Week   Week   Week

                  1      2      3      4      5      6      7      8      9      10     11     12

 Abandon          X      X      X      X      X      X      X      X      X      X      X      X
 Ship drill
 Fire    Drill                                                                   X      X      X
 (fires     in    X      X      X      X      X      X      X      X      X
 Activating                                                                      X      X      X
                  X      X      X      X      X      X      X      X      X
  Launching                                                                      X
 craft       &
                         X                           X
 life boats
 and rescue
  Man                                                                                          X
                                       X                           X
  Helicopter                                                X
 Search       /
 Emergency                                                                                     X
                                       X                           X
9      Reporting    of   Accidents,   Hazardous
       Occurrences and SMS Non-Conformances.

    This section requires operators in relation to non conformities, Accidents, and
    hazardous occurrences, to have procedures in place to :

       •   Report
       •   Investigate
       •   Undertake corrective action to avoid re occurrences.

    Reporting may be undertaken on dedicated form, but in any case must be
    logged in the vessels official logbook.
    The MSO must be notified directly in the event of accidents or hazardous
    occurrences, and may decide to investigate such matters on the details of an
    individual case.

    The company should have procedures and resources to investigate the events
    internally, and confirm that any recommendations are implemented.

Report Originated by:                                                            Date:
Name of Vessel:                                                                  Non Conformity Item No.
Description of Nonconformity:

Corrective Action (includes time frame within which corrective action must be completed; action taken on board;
requested Shore based Company action required, and any other recommendations that would correct this nonconformity)

This section will be filled out by Shore based management
Corrective Action Taken or Required:

Corrective Action Resolution Date                                          Accepted by (Manager)

Verified (Master)

Close out of nonconformity.

Signature / Position / Date: ____________________________________________________________

1)    Report      Type    –    tick     Box(es)        Personal Injury or Illness           Near Miss
(2) Vessel Name                                     (3) Vessel Location                     (4) Date
(5) Brief Description of the Incident / Near Miss

(6) Root Cause / Contributing Factors

(7) Corrective Actions Taken Onboard

(8) Further Action Required           Yes                       No
(9) If Yes, Please State Action Required

Management Corrective Actions (Do they address root causes or contributing factors identified

(10) Further Action Required         Yes                           No
(11) If Yes, Please State Action Required

Report Closed by
(10) Name                                 (11) Position                                      (12) Date
10.0         Vessel and Equipment Maintenance
Within their SMS, operators must establish procedures, to ensure their vessel
is maintained to nominated standards, based on:

   •   National Legislation
   •   Manufacturers Instructions and Guidance
   •   Best Industry Practice
   •   Additional requirements of an individual company.

Complying with the above requirements operators will have to:

   •   Ensure maintenance inspections are undertaken at appropriate intervals
   •   Report any non conformity (defects)
   •   Ensure corrective action is taken
   •   Maintain records of the above activities

The company must also for each of its vessels identify those items (Critical
Items of Equipment) which if in the event of their sudden operational failure,
may place the vessel in a hazardous situation, typical examples would be but
not limited to:

   •   Loss of steering
   •   Failure of main propulsion unit
   •   Bilge level warning, and pumping systems failure
   •   Fuel filtration systems
   •   Navigational Equipment failure

The SMS system must identify these critical systems, and include measures
for proving and promoting the reliability of these systems, such measures may
include the provision of stand by units, regular testing of systems and standby
units, and testing of systems not normally in use, e.g. emergency steering.

Any such testing must be incorporated into the vessels operational
maintenance routine.

Procedures may take the format of checklists based on manufacturers
maintenance instructions, best practice, company prior experience of
operation of their vessels, and those mandatory by law.

Operators must keep verifiable records of work due, work completed, defects
noted, and corrective action undertaken.

                                               Initial and Date on Completion of each routine
                        Maintenance   -
       Planned          Location    and
       Maintenance      Procedure       January       February March   April   May   June   July   August   September October   November December
       Frequency        Number.

Accommodation and Spaces

       6 Monthly        Galley PM 1, 2

                        Washrooms        and
       6 Monthly
                        Toilet Rooms

                        Store Rooms and
       6 Monthly

Deck Equipment

ANCH                    Anchors,     Chain,
     6 Monthly
01                      Line

ANCH                    Mooring       and
     6 Monthly
02                      Standing Gear

     6 Monthly          Deck Machinery

Auxiliary Machinery

AUXI                    Bilge and Ballast
01                      System

AUXI                    Refrigeration/Air
     6 Monthly
02                      Conditioning

AUXI                    Compressed       Air
     6 Monthly
03                      System

                        Fresh         Water
     6 Monthly          Systems (Potable
                        and Sanitary)

Gangways and means of access to vessel

ACC                     Gangway structure
01                      inspection

Electrical Systems

ELEC                    Ship         Service
01                      Generator

     6 Monthly          Switch Boards
     6 Monthly          Panel Boards

     Annual             Megger Readings

                        Main      Engine
     6 Monthly          Emergency

ELEC                    Ships        Service
06                      Lighting

ELEC                    Emergency Power
07                      and Lighting

ELEC                    Batteries and PA
     6 Monthly
08                      system

ELEC                    Ventilation System
     6 Monthly
09                      Shutdowns

ELEC                    Wiring and Safety
     6 Monthly
10                      Signage.

Fire Fighting

       6 Monthly        Extinguishing
       Monthly          Portable
                        Self     Contained
       6 Monthly        Breathing

FIRE                    Fire Main       and
04                      Stations

FIRE                    Fire Main / Fire
       6 Monthly
05                      detection systems

       Monthly          Emergy Shutdowns

Watertight / Weathertight Openings

HULL                    Watertight   doors
01                      and openings

Life Saving Equipment

       Monthly          Life Raft

       Annual           Life Raft Survey

LIFE                    Rescue Boat (Non-
03                      SOLAS)

       6 Monthly        Boarding Ladders

LIFE                    Life     Preservers
       6 Monthly
05                      (PFD)s and Storage

       6 Monthly        Life Buoys / lights

LIFE                    Line     Throwing
07                      Apparatus
       Annual              Immersion Suits

Machinery Installation Maintenance - Time based or Running Hours*   * use as appropriate

MACH 6   Monthly       /
                           Fuel Lines
01   Running Hours

     6 Monthly             Air Starting System

MACH                       Intake and Exhaust
     6 Monthly
03                         System

                           Lube Oil System
     6 Monthly             (Oil     Change /

     6 Monthly             Cooling System

                           Engine     bedplate
     6 Monthly             bolts
                           Safety Guards

     6 Monthly             Engine Controls

     6 Monthly             Automation

     6 Monthly             Fuel Systems


     6 Monthly             Escapes

                           Loadline   marks,
     6 Monthly             Draftmarks, Hull
     Monthly               Conditions

Navigation Equipment

     Monthly               Steering Gear

     Monthly               RADAR

     Monthly               AIS

     Monthly               VHF Radio

     Monthly               Whistle / Horn

     Monthly               Compass

     Monthly               Depth Sounder

     Monthly               Navigation Lights

     Monthly               Distress Signals
     Monthly           EPIRB

     Monthly           GMDSS

NAVI                   Line     Throwing
12                     Apparatus

Pollution Prevention

     Monthly           Cargo Record Book

     Monthly           Oil Record Book

POLL                   Fuel    Oil/Cargo
03                     Containment

POLL                   Oily         Waste
04                     Retention

POLL                   Bilge and Ballast
     6 Monthly
05                     Discharge

POLL                   Placards MARPOL
     6 Monthly
06                     73/78

POLL                   Oil        Transfer
07                     Procedures

     Monthly           Transfer Hoses

     6 Monthly         Sewage Retention

   11.0 Documents and Records                                 - location,
        control and approval.



         The SMS is a Controlled Document, any changes or amendments to it
         must be recorded and completed in a structured manner by operators,
         whereby all copies of the SMS are kept up to date, all out of date
         material is removed from all copies, and all put of date material is
         confirmed as having been destroyed.

         In relation to their SMS, Operators must identify:

            •     Who within their organisation is responsible for updating the
            •     How they intend to control amendments to the SMS
            •     Who holds copies of the SMS
            •     Where are the Copies held
            •     Where any records associated with the SMS are kept, e.g
                  Company Office, on board vessels etc.

Document Control and Amendment Records


   •     Operators must ensure that all copies of the SMS are controlled and
   •     The MSO will require a copy of each SMS and should be listed on the
         following document control sheet.
   •     Operators must ensure that all control copies are subject to update and
         amending as required, and ensure they have a procedure to do so.
   •     All amendments must be recorded and included in the SMS
   •     Operators must ensure that when sections of the SMS are amended, the
         old versions are removed, destroyed, and a positive report made to the
         individual responsible for the SMS within the Company.

The following sheet is an example that may be used to document the Control
and amendments to a Company SMS and should be inserted at the beginning
of the Document under control.
Document Control and Amendment Records (ISM 11.0)



Contact Details

Control Copies of Domestic Vessel Safety Management System

Copy Number     Issued to:        Comment:           Date of Issue   Signature

Amendment Record

Amendment     Date   Page    Amended Item                                Signature
Number               No:


    •   Holder of each copy is responsible for updating the SMS with new
        amendments, removing of old sheets, and positive reporting of their removal
        and destruction to be made to the Company Designated Person.
Document Controls – Vessel Certifications (ISM                              11.0 )

Record Expiration Dates or Documents placed onboard

Vessel:                                        Call Sign                       IMO No.

Certification of Registration                              Radio Station License
(Permanent /Provisional)
                                                           Passenger Certificate

International Tonnage Certificate (1969)                   International Load Line Certificate
                                                           full term – last annual
Minimum Safe Manning Document                              IOPP Certificate full term – last
Construction Certificate full term                         Equipment Certificate full term –
- last annual                                              last annual
Radio Certificate – full term - last                       Safety Management Certificate
annual                                                     full term-intermediate
Document of Compliance - full                              Certification of class full term
term - last annual                                         -last annual

Other Certificates and
Exemption Certificates if any;
Due dates:

Miscellaneous Certificates and Survey Expiration Dates


Hydrostatic Releases

Smoke Canisters                                            Hand Held Flares
MOB Buoy Markers                                           Parachute Rockets:
EPIRB Service Due:                                         EPIRB Battery Ex.

Fire Extinguishers                                         Fixed CO2 System
Line throwing rockets                                      SART Batteries Exp:
Gas Detector – model, date due calibration
GMDSS Hand held radio batteries expiry date

Date:                                  Name:                         Signature:
12.0      Company Audits,                      Verifications,            and

To maintain the effectiveness of the SMS, Operators must have procedures in
place to evaluate if:

   •   The safety and pollution prevention activities comply with the Safety
       Management System (Internal Audit)
   •   Evaluate the efficiency of the SMS. (Review of SMS)
   •   Put in place documented procedures to undertake Audits and Reviews,
       including documenting Audit / Review, noting deficiencies, addressing
       corrective action and allocating responsibility for corrective action to
       staff / management.

The first point is a full Audit of the SMS, and should ideally be conducted by a
trained person independent of the areas being audited, (unless impractical due
to the size or nature of the Company. Another option is to have the Audit
conducted by an external auditor.

The second point may take the form of a review of the full SMS, or relevant
portions, an example being the Masters Review, (see check list Masters Review
– Ch. 5)

It is important the Company has procedures documenting how the audit /
review is conducted, reported on, and acted on.

The results of such evaluations must be made available to all staff responsible
for a particular area of operation.

Companies should as part of their procedure, state how often they will
undertake such audits / reviews, e.g. six monthly, annually etc

Responsibility must be allocated to Management staff, to ensure any non
conformities /deficiencies are noted, addressed within a definite appropriate
period of time, and a follow up to ensure closure of outstanding defects is in
13.0          Maritime Security
[Passenger vessels carrying 100 or more passengers, or Cargo Vessels of
greater than 500GT, require a separate dedicated Security Plan,

Vessels not required to have a security plan must have as a minimum, security
procedures in place, based on the Guidance issued in Marine Notice 16 of

Security procedures

       13.1    List of Restricted Areas to Passengers on board vessel

       13.2    Means of securing \Restricted Areas

       13.3    Access Control

       13.4    Pre Departure Security Announcements

       13.5    Passenger Luggage

       13.6    Visitors and Repair Contractors

       13.7    Securing the vessel when out of service

       13.8    Standard Operating Procedures (SOP)

       13.9    Emergency Contacts - Details
Security procedures

13.1   Restricted Areas on Board Vessel.

       [List restricted areas e.g. All Crew Areas, Wheel House, Machinery Spaces,
       Mooring areas, Stores, etc]

13.2   Means of Securing Restricted Areas

       [Identify how restricted areas will be secured, e.g. padlocks, security
       seals etc]
13.3        Access Control to Vessel:

  3.1 Embarking and disembarking of passengers will only occur via a suitable
      gangway or safe means of access.
 3.2 Embarking and disembarking passengers will always be kept separate
 3.3 Embarking will only be allowed when the crew are present on board to
      receive passengers, and the vessel has been inspected for any unattended or
      unusual items
 3.4 Embarkation will not occur while cleaning or maintenance of a vessel is
      being undertaken
 3.5 Passengers must present valid tickets to crew, prior to being allowed on board
 3.6 Particular attention must be paid by the crew when tidal conditions present
      the vessel level with a pier, to avoid the instance of an unauthorised boarding
      of the vessel other than by the gangway.
 3.7 In the cases of charter groups, the charter representative travelling will
                        •       Advise the vessel of group number travelling
                        •       Muster at an agreed location away from the vessel and
                                account for their group prior to boarding.
                        •       Confirm numbers of mustered group to the vessel.
The boarding of such groups will be overseen, and numbers confirmed by a
crewmember who will liaise with the organiser. A counting device such as a “clicker”
should be used to account for number of persons boarding.

13.4            Pre departure security announcements

      4.1    Pre-departure       announcements       will   incorporate   security   advise   to
             passengers to

                            •    Not leave any baggage unattended
                            •    Report any suspicious items noted on board
                            •    Not enter any restricted areas on board.

13.5          Luggage carried on board.

5.1         Unaccompanied luggage will not be placed on board, unless satisfactory
            means of verifying its contents are provided.

5.3         Passengers will for security purposes be responsible for their luggage at all
            times while on board.

5.3         On completion of a trip, and prior to the next departure, the vessel will be
            checked for any remaining unaccounted luggage items.
 13.6    Visitors and Repair Contractors

  6.1    Official Visitors and Contractors must present themselves initially to the shore
         office for clearance, prior to attempting to board any company vessel.
         Contractors will be asked to provide proof of identification by one of the following
                •   Passport,
                •   Drivers Licence,
                •   Verified company ID are acceptable means of proof.

 6.2     Vessel Operators to provide a dedicated visitor’s pass, with associated records of
         who has accessed their vessels.

 6.3     Visitors and Contractors will be given a security / safety briefing prior to boarding
         the vessel.

13.7 Securing Vessels

   7.1 Where practical, external doors and storage areas should be kept locked shut,
         while allowing means to exit rapidly from within the vessel in the event of an
   7.2   When the vessel is left unattended for a period of time such as overnight or
         seasonal lay-up, the engines will be disabled to prevent theft or unauthorised
   7.3   Out of service vessels will be securely moored and monitored regularly
   7.4   Gangways will be lifted and not left in position on an unattended vessel
13.8 Standard Operating Procedures (SOP’s)

[Owners to insert procedure sheets for following scenarios]

                 •     Response to Bomb threats
                 •     Visiting Contractors
                 •     Cleaning routines
                 •     Vessel inspection routine
                 •      Securing of vessel when out of service and security sweep
                        routine prior to re entering service

13.9 Emergency Contacts List:

                 [The contacts list should include but not be limited to]:

                 •   Local Garda Station
                 •   Local Garda Crime Prevention Officer (for Advice on Security)
                 •   Regional Marine Survey Office (Department of Transport)
                 •   Local Harbour Masters (if applicable)
                 •   Coast   Guard    Dublin   MMRC      or     regional   Radio   Stations
                     (to report any security incident at sea)

                 All lists must be checked and amended on a regular basis.

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