Safety Management System

Transcription

1 Guidance Notes Domestic Shipping Safety Management System

2 Contents: Introduction: 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 Authority 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 Company Audits, verification, and evaluations Maritime Security.

3 Introduction: 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 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 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.

4 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) that: 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 SMS. To assist owners, both the template and guidance will be made available in electronic format. 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 MSO.

5 2.0 Safety and Environmental Protection Statements and Policies Notes: 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 operation. Policy Statements should be short, concise and direct, and for ease of reference should all be contained within this section.

6 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 Garbage 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

7 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 dated:.

8 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 dated:.

9 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 document: 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 document: 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.

10 Disability Access* Policy should reflect as a minimum, the following points and should be expanded to produce a Company Specific policy document: State Companies policy on Disability access Identify to what extent company vessels can comply, e.g. subject to Tidal conditions, Structural or operational conditions etc 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 document: : 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.

11 Wearing of Personal Protective Equipment Policy should reflect as a minimum, the following points and should be expanded to produce a Company Specific policy document: Personal Protective Equipment to be provided by Company PPE equipment must be used as appropriate by Company staff. 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 occurring Oil Pollution Policy should reflect as a minimum, the following points and should be expanded to produce a Company Specific policy document: 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?

12 Bunkering of Vessel: Policy should reflect as a minimum, the following points and should be expanded to produce a Company Specific policy document: 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 bunkering. 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 operations 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 spillage Reporting of Incidents Policy should reflect as a minimum, the following points and should be expanded to produce a Company Specific policy document: 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)

13 Marine Security Policy should reflect as a minimum, the following points and should be expanded to produce a Company Specific policy document: Commitment to ensuring Security of vessel, passengers and crew 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) Noise Policy should reflect as a minimum, the following points and should be expanded to produce a Company Specific policy document: 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 document: State company policy of avoidance of excessive exhaust smoke 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

14 Garbage Management Policy should reflect as a minimum, the following points and should be expanded to produce a Company Specific policy document: State Company policy on waste management Identify Company waste management plan On board warning notices prohibiting dumping of garbage overboard 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 document: 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 document: 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 DG? Provision of specific training for Company Staff in DG.

15 Tendering Operations Policy should reflect as a minimum, the following points and should be expanded to produce a Company Specific policy document: 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 document: 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 hazards 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 safely. Identify those ports considered suitable for use by company vessels.

16 Company vessel Maintenance Policy Policy should reflect as a minimum, the following points and should be expanded to produce a Company Specific policy document: 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 intervals Report any non conformity (defects) Ensure corrective action is taken Maintain records of the above activities

17 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 Notes: 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 vessel,

18 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: Address: Name of Vessel Operating Company: Director / Owner of Operating Company: Operating Company Address: Company Declaration of Compliance Certificate No:.Vessel Registered Owner. Date.. 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.

19 3.2 Operating Company - Organisational Structure and list of responsibilities Company Authority and Line of Reporting. Company Directors Name: Designated Person Name: Company Manager Name: Vessel Masters Name: Vessel Crew

20 3.2 Company Responsibilities Shorebased Operations Company Directors Company: Address: Tel. Fax: Mr. Director with overall responsibility for Safety Management Systems Company Manager: Name Address Tel. Mob. Responsible for Daily implementation of Safety Management System. Vessel Operation. Vessel Masters: Name 1 Name 2 Contact Mob. Responsible for operating vessel in compliance with safety management system Has overall authority in decision-making relating to vessels safety and security Must actively enforce SMS on board, conduct regular reviews. Designated Person Name Contact No. Responsibility for monitoring effectiveness of SMS within Company, 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.

21 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.

22 4.0 Designated Person. (ISM 4.0) Details of The Designated person for [name company] Name: Contact Details. Address: Phone: 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 required.

23 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, And 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.

24 5.1 Masters Responsibilities under the Safety Management System (ISM 5.0) [Insert Name of Company] defines the responsibilities of its vessel Masters as follows: 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 necessary.

25 SAFETY MANAGEMENT SYSTEM MASTERS HAND OVER REPORT (ISM 5.0) M/V: From Captain: Was handed over on: 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 General Signature: Incoming Master: Signature: Outgoing Master:

26 SAFETY MANAGEMENT SYSTEM AID TO UNDERTAKING ISM - MASTERS REVIEW (ISM 5.0) Date: Vessel: Name of Master: Personnel Present: Name: Name: Rank: 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:

27 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 required. 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:

28 ISM - MASTER S REVIEW 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 Reports. 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:

29 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:

30 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:

31 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:

32 7. Overall effectiveness of Safety Management System and Suggestions for improvement 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:

33 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 Notes 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.

34 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,]

35 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 Lifebuoys Flares 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 for: 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

36 ON BOARD SAFETY AND TRAINING Vessel Name: Employee s Name: (Print) Date of Vessel Safety Familiarization 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:

37 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

38 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 Company 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. Note: 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.

39 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

40 Safety Management System Maiintenance Sheet Daiilly Checklliist (I( ISM ) ) 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 Steering 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 Maasst teerr Siggnnaat tuurree: :... Daat tee: :..

41 Safety Management System Weeklly Checklliistt IInspecttiion,, Testtiing,, Maiinttenance (I( ISM ) ) Vessel: Crewmember responsible: Item Main Hours Engine Date Initials Inspection Maintenance Date Initials Inspection Maintenance Date Initials Inspection Maintenance Generator Hours Bow Thruster Hours Life Safety Equipment Bilge System Voids Dry Hatches Steering System Pumps Filters Supply Lube Supply All Oil Electrical Panels Electrical Equipment Plumbing Maasst teerr Siggnnaat tuurree: :... Daat tee: :..

42 Safety Management System Liiffe Saviing //Fiire Fiighttiing Equiipmentt Weeklly IInspecttiion (I( ISM ) ) Vessel: Crewmember responsible: Item Life Jackets Date Initials Inspection Maintenance Date Initials Inspection Maintenance Date Initials Inspection Maintenance Life Rafts Buoyant Apparatus Rescue Boat & Equipment Life Buoys Fire Stations Fire Extinguishers Man Overboard Eq. Breathing Apparatus Fire Dampers Fire Doors General Alarms Signage Emergency Lighting First Aid Kit Survival Suits Maasst teerr Siggnnaat tuurree: :... Daat tee: :..

43 Safety Management System Vessel Pre Departure Checklist (ISM 7.0) Vessel: Location: Date: Time: EQUIPMENT Main Engines Running & Ready for use Alarms & indicators operational Astern propulsion tested Emergency stop operational Thrusters Running & ready for use CHECKED OK EQUIPMENT Navigational Lights Depth Sounder GPS Whistle * tested ok E/R Comms * tested ok Deck Comms * tested ok CHECKED OK Alarms & indicators operational ITEM CHECKED OK Directional control tested Bilge Level Emergency stop operational Steering Gear Tested Port Stbd Emergency Steering available Weather Forecast checked Radar Running & available for use Auto Pilot 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 A.I.S. Tested, on & operational Fire Detector panel Clear Pre Departure Safety Announcements made Deck Cargo Secure Hatches Secure W/T Doors Secure Log Book Entry Made BILGE ALARMS CLEAR Notes: Signed:

44 Safety Management System Vessel Bunker Refueling Checklist* (ISM 7.0) Vessel: Date: Port: Product Loading: Storage Tank Details Tank No. Product Description Tank Capacity Tank Contents prior to loading Start Load Time Finish Load Time Tank Contents After Loading 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 supplier 3 Has Grade, Quantity and quality been agreed with Supplier 4 Are staff members engaged in the transfer trained and aware of Company procedures 5 Absorbent materials, scoops and buckets available in case of spillage 6 Scuppers adjacent to bunker station on board plugged 7 Bunker hose inspected and noted as in good condition, and free of leaks Officer Responsible for operations Crew assisting 10 Are transfer emergency stops procedures agreed with supplier, and an agreed means of communication in place. 11 Are means in place to avoid over pressurizing either hoses or ship pipe work 12 Have Ships tanks been confirmed prior to commencing and capacity available agreed on 13 Are all non smoking and naked lights requirements observed 14 Is the Code B (Day) or all round red light (Night) displayed Signature of Responsible Person Date: Supplier: This checklist to be held on file for 1 years*

45 Safety Management System Passenger Counting & Boarding Checklist (ISM 7.0) Vessel: Date: Item: Description: 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 Checked: 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.

46 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 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 permit 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 them 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

47 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 throughout Signed: Position: Date/Time: Certificate of Acceptance (Completed by person in charge) Signed: Position: Date/Time: Permit Closed out Signed: Position: Date/Time:

48 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.

49 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 Emergency Towing Operations Search Routine - Missing Person / Bomb Search / Stowaway 8.13 Medical Evacuation 8.14 Helicopter operations 8.15 Civil unrest on board.

50 ROSTER OF DRILLS, MUSTERS Quarterly Cycle Drill Week Week Week Week Week Week Week Week Week Week Week Week Performed Abandon Ship drill Fire Drill (fires in different locations) Activating general alarm Flooding and Damage Control (Sinking Grounding, Collision) Launching survival craft & recovering life boats and rescue boats Man Overboard Drill Helicopter Evacuation Mayday; using visual distress signals Bomb Search / Missing Person drill Emergency Steering Test X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X

51 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.

52 NON - CONFORMITY REPORT Report Originated by: Name of Vessel: Description of Nonconformity: Date: Non Conformity Item No. 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:

53 ENVIRONMENTAL* / INJURY* / NEAR MISS REPORT* THE FOLLOWING TO BE COMPLETED BY VESSEL MASTER * DELETE AS REQUIRED 1) Report Type tick Box(es) Personal Injury or Illness Near Miss Environmental (2) Vessel Name (3) Vessel Location (4) Date (5) Brief Description of the Incident / Near Miss INCIDENT ANALYSIS (6) Root Cause / Contributing Factors VESSEL CORRECTIVE ACTIONS (7) Corrective Actions Taken Onboard (8) Further Action Required Yes No (9) If Yes, Please State Action Required THE FOLLOWING IS TO BE COMPLETED BY OPERATIONS PERSONNEL ONLY Management Corrective Actions (Do they address root causes or contributing factors identified above) (10) Further Action Required Yes No (11) If Yes, Please State Action Required Report Closed by (10) Name (11) Position (12) Date

54 10.0 Vessel and Equipment Maintenance Procedures 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.

55 PLANNED MAINTENANCE - SCHEDULE CHART Vessel: Planned Maintenance Frequency Initial and Date on Completion of each routine Planned Maintenance - Location and Procedure Number. January February March April May June July August September October November December Accommodation and Spaces 6 Monthly Galley PM 1, 2 6 Monthly Washrooms Toilet Rooms and 6 Monthly Store Rooms and Lockers Deck Equipment ANCH 01 6 Monthly Anchors, Line Chain, ANCH 02 6 Monthly Mooring Standing Gear and ANCH 03 6 Monthly Deck Machinery Auxiliary Machinery AUXI 01 Quarterly Bilge and Ballast System AUXI 02 6 Monthly Refrigeration/Air Conditioning AUXI 03 6 Monthly Compressed System Air AUXI 04 6 Monthly Fresh Water Systems (Potable and Sanitary) Gangways and means of access to vessel ACC 01 Monthly Gangway structure inspection Electrical Systems ELEC 01 Quarterly Ship Generator Service ELEC 02 6 Monthly Switch Boards