Subject Area no.

3 SMS governing documents

Principle: The company documents, maintains and follows policies, practices and procedures for the safety of their employees
and the safe, compliant and reliable operation of their ships.
Level Expectations Targets Suggested objective evidence
Basic Procedures and instructions are Sufficient electronic or hard copies of Procedure for document control
written in plain language and contain procedures and instructions are easily
enough detail to ensure that tasks can accessible to all personnel, including
be completed correctly and subcontractors, at appropriate
consistently. locations onboard and shore sites. Document register
Procedures and instructions are easily There is a Document Management Document hierarchy
accessible to personnel and available System in place which could cover but
at appropriate locations not limited to editing controls, version
The Company has a document control number, date, document ownership, Examples of documents to verify
system which details how documents history tracking, access to documents, document control in place and
(including records) should be distribution of documents, document effective
controlled. register, document storage,
document update, communications
within the vessels, etc.
Records are kept of the
communications of changes to SMS.

© Dry Bulk Management Standard 2020

Subject Area no. 3 SMS governing documents
Level Expectations
Intermediate Periodic meetings that review or
amend current procedures, or
propose new ones, take place at
defined intervals and are formally
recorded.
The Company has processes for
document control that assigns
responsibilities for version control,
document register, training on
systems and auditing.
Relevant reference documents are
provided as a supplement to the SMS
both onboard and ashore.
Targets Suggested objective evidence
Items to consider may include: Evidence of review meetings
recommendations from the Master’s
review of the SMS and accident
investigations; suggestions for
continual improvement, and new and
upcoming legislation. Job description of Document
Controller.
Responsibility is defined for: access Examples to demonstrate DMS
control to amend/upload functionality
documentation; document register Evidence of DMS backup process.
kept updated; most recent version of
the document is in the system; Latest versions of reference
obsolete documents are removed; documents available.
training of document management
system; and, audit
In case of an electronic system, the
SMS has a backup process.
© Dry Bulk Management Standard 2020
Subject Area no. 3 SMS governing documents
Level Expectations
Advanced Open dialogue between vessel
personnel and shore-based personnel
to improve the SMS is encouraged.
Documents should be stored and
controlled electronically.
There is process of document
classification and distribution.
Targets Suggested objective evidence
Proactive feedback is encouraged Evidence of proactive feedback from
from users including shore-based vessels.
personnel, vessel personnel and third Evidence of documents being
parties. This may include circulating updated based on feedback.
industry and fleet incidents; industry
alert bulletins; seminars; open
reporting programmes; sea staff
conferences, etc.
There should be an electronic Evidence of electronic management
management system for the system
documents.
There is document classification Ease of access of documentation
process including access restrictions, Classification process
permission levels on internal and
external distribution.
© Dry Bulk Management Standard 2020
Subject Area no. 3 SMS governing documents
Level Expectations
Excellence The company has an external
assurance programme in place to
verify the effectiveness of the SMS.
Targets
Managers are responsible for
ensuring the effectiveness of the SMS.
This is a key responsibility and cannot
be delegated to others.
Suggested objective evidence
SMS audit with follow up of action
items.

The assurance programme may

include:
• An independent auditing body.
• Third party consultancy.
• Interdepartmental auditing.

© Dry Bulk Management Standard 2020

Notes:

© Dry Bulk Management Standard 2020