SAFETY

MANAGEMENT
SYSTEM
Objectives

At the end of this course, the participants will be able to:

■ Define what is safety management system
■ Explain principles of SMS
■ Interpret what are the key process of an SMS
■ Identify the Functions of SMS
■ Recognize how to use SMS onboard a vessel
■ Explain the effective element of Safety and Health Management System
Safety Management System

■ The safety management system (SMS) is an organized system planned and implemented by the
shipping companies to ensure safety of the ship and marine environment
■ SMS is an important aspect of the International safety management (ISM) code and it details all the
important policies, practices, and procedures that are to be followed in order to ensure safe functioning
of ships at the sea
■ All commercial vessels are required to establish safe ship management procedures. SMS forms one of
the important parts of the ISM code
■ It recognizes the potential errors and established robust defenses (control measures) which are fully
implemented, to ensure that errors do not result in accidents or near misses
■ The safety management system (SMS) therefore ensures that each and every ship comply with the
mandatory safety rules and regulations, and follow the codes, guidelines, and standards recommended
by the IMO, classification societies, and concerned maritime organizations.
Principles of SMS

■ Plan
– The policy statement should include the organization’s obligations to comply with
international and national legislation, rules and regulations.
– A more advanced policy statement may also include information about the
organization’s attitude and values towards health, safety and environment.
– The organization needs also to develop procedures to support this policy, as well as
contingency plans to respond to any incident that may occur.
– While planning to manage safety, an organization should also think about how it
will measure its performance. Setting out key performance indicators can help
define the standards of health, safety and environmental compliance that a company
expects to achieve.
Principles of SMS

■ Do
– The wording used in ISM refers, that “1.2.2 Safety management objectives of the
Company should, inter alia:
■ provide for safe practices in ship operation and a safe working environment,
■ assess all identified risks to its ships, personnel and the environment and establish
appropriate safeguards; …”
Principles of SMS

■ Do (cont’n)
– In this regard:
■ Accountability for health and safety needs to be specified,
■ Roles and responsibilities should be defined,
■ Resources should be allocated, and
■ The workforce involved needs to have a shared understanding of how to keep risks to a
minimum.
Principles of SMS

■ Check
– In particular, monitoring systems provide information of how the safety management
system is performing:
■ Proactive monitoring: It involves monitoring, evaluating and checking on how well the
system is performing before something happens. This may include audits, inspections, self-
assessments, reviewing procedures surveys, such as health checks or employee attitude
surveys.
■ Reactive monitoring: It is limited to response and involves recording information, incident
investigation and training based on lessons learned.
– The organizational knowledge (as specified in Quality Standard) may be very useful to
support such actions. The management review is the main tool to complete this stage.
Principles of SMS

■ Act
– This phase incorporates:
■ new information about changes in rules and regulations,
■ lessons learned from within or outside the company, and
■ advances in understanding and knowledge.

– The management review process helps to actions for improvement, such as

updating plans, re-visiting organizational arrangements, implementing new or
revised measures, and adopting or adapting monitoring and evaluation processes.
Key Processes of SMS

■ Hazard Identification – a method for identifying hazards related to your organization

■ Occurrence Reporting – a process for the acquisition of safety data
■ Risk Management – a standard approach for assessing risks and for applying risk
controls
■ Performance Measurement – management tools for analyzing whether the
organization’s safety goals are being achieved, and
■ Quality/Safety Assurance – processes based on quality management principles that
support continuous improvement of the organization’s safety performance
Function of SMS

■ The SMS is the tool with which the Company meets the overall goal of the Regulations
■ The SMS should cover the following:
– Define safety roles and responsibilities
– Ensure adequate skills, information, tools and decision-making are present in day-to-day and abnormal operations
– Maintain awareness of hazards and risks
– Plan, implement, measure and evaluate controls
– Set targets for improvement of safety at the facility
– Manage change
– Manage and maintain knowledge
– Instigate risk assessments
– Manage adequate human resources
– Provide performance information to all levels of organization
– Review and improve the SMS itself
Function of SMS

■ Manage safe operation at the facility, specifically focusing on:

– Prevention
– Reduction
– Mitigation
■ It is not just documentation – it is the actual implementation of processes, procedures
and practices onboard
■ Include and reflect the safety culture at the workplace
Measurement of Performance

■ Performance standards / indicators must be developed and implemented as part of the SMS (e.g.,
measure the effectiveness of SMS)
■ The following principles apply in defining performance standards:
– Make them SMART
■ Specific
■ Measurable
■ Achievable
■ Realistic
■ Time-bound
■ The purpose of performance standards / indicators for the SMS is to enable the objective measurement
of its target and (subsequently) effective maintenance and improvement of performance
Components of SMS:

■ Safety Policy – Establishes senior management’s commitment to continually improve safety;

defines the method, processes, and organizational structure needed to meet safety goals
– Establishes management commitment to safety performance through SMS
– Establishes clear safety objectives and commitment to manage to those objectives
– Defines methods, processes, and organizational structure needed to meet safety goals
– Establishes transparency in management of safety
■ Fully documented policy and processes
■ Employee reporting and resolution system
■ Accountability of management and employees
Components of SMS:

■ Safety Policy
– Establishes transparency in management of safety
■ Fully documented policy and processes
■ Employee reporting and resolution system
■ Accountability of management and employees
– Builds upon the processes and procedures that already exist
– Facilitates cross-organizational communication and cooperation
Components of SMS:

■ Safety Risk Management (SRM) — Determines the need for, and adequacy of, new or
revised risk controls based on the assessment of acceptable risk
– A formal process within the SMS composed of:
■ Describing the system
■ Identifying the hazards
■ Assessing the risk
■ Analyzing the risk
■ Controlling the risk
– The SRM process may be embedded in the processes used to provide the
product/service
Components of SMS:

■ Safety Assurance (SA) — Evaluates the continued effectiveness of implemented risk

control strategies; supports the identification of new hazards
– SMS process management functions that systematically provide confidence that
organizational outputs meet or exceed safety requirements
Components of SMS:

■ Safety Assurance (SA) (cont’n)

– Ensures compliance with SMS requirements and FAA orders, standards, policies, and
directives
■ Information Acquisition
– Audits and evaluations
– Employee reporting
■ Data Analysis
■ System Assessment
– Provides insight and analysis regarding methods/opportunities for improving safety and
minimizing risk
– Existing assurance functions will continue to evaluate and improve service
Components of SMS:

■ Safety Promotion – includes training, communication, and other actions to create a

positive safety culture within all levels of the workforce
– Safety promotion activities within the SMS framework include:
■ Providing SMS training
■ Advocating/strengthening a positive safety culture
■ System and safety communication and awareness
■ Matching competency requirements to system requirements
■ Disseminating safety lessons learned
– Everyone has a role in promoting safety
Interfaces Between SRM and SA

■ Safety Risk Management (SRM) and Safety Assurance

(SA) are the key processes of the SMS. They are also
highly interactive.
■ The flowchart below may be useful to help visualize these
components and their interactions. The interface attribute
concerns the input-output relationships between the
activities in the processes. This is especially important
where interfaces between processes involve interactions
between different departments, contractors, etc.
■ Assessments of these relationships should pay special
attention to flow of authority, responsibility and
communication, as well as procedures and documentation.
Safety & Health Management Integration

■ Culture
– Attitudes
– Behaviors
– Beliefs
– Values
– Ways of doing things
– Other shared characteristics of a particular group of people
■ Culture can
– Socialize newcomer
– Define influence
– Determine values
Effective Safety and Health Management
System
5 Effective Elements
1. Management Leadership and Employee Involvement
2. Worksite Analysis
3. Hazard Prevention
4. Hazard Control
5. Safety and Health Training
Effective Safety and Health Management
System
■ Management Leadership and Employee Involvement
– Visible management support, involvement and participation in the safety and
health program
– Assign head safety and health responsibility with the authority to perform their
duties
– Empower seafarers and involve them in the safety and health program. Hold them
accountable
– Develop safety and health policy, set annual goals and program review
Effective Safety and Health Management
System
■ Work Analysis
– Ensure that formal safety and health surveys are conducted
– Conduct and document job hazard analysis
– Develop a self-inspection program and conduct formal and informal workplace
safety and health inspections
– Develop system for tracking, reporting, and investigating near misses,
accidents/incidents and injuries and or illness
Effective Safety and Health Management
System
■ Hazard Prevention
– Establish and maintain good housekeeping procedures
– Establish an emergency medical treatment
– Develop and implement a preventive maintenance systerm
– Provide medical surveillance and health care
Effective Safety and Health Management
System
■ Hazard Control
– Establish procedures for evaluating and implementing engineering controls
– Develop and implement safe work practices
– Develop and implement administrative controls
– Ensure personal protective equipment is provided, properly used and maintained
Effective Safety and Health Management
System
■ Safety and Health Training
– Identify, schedule, conduct and document required safety and health training
Safety Management System Manual
■ Introduction
■ Safety and Environment Protection Policy
■ Company Responsibility and Authority
■ Designated Persons
■ Master’s Responsibility
■ Resources and Personnel
■ Vessel Operating Procedures
■ Emergency Preparedness
■ Reporting Procedures
■ Maintenance
■ Documentation
■ Company Verification and Review
Introduction

■ Purpose – describe the company’s policy in developing, implementing and maintaining

the functional elements of the company’s SMS

■ Contents – provides an overview of the company’s policy on safety and environmental

protection. Identifies that the manual is for the use of the following personnel:
– Vessel masters
– Officers
– Other seagoing personnel, and
– Onshore management
Introduction

■ SMS Documentation – copies of documentations are controlled and only available to

non-Company personnel on the instructions of the responsible personnel.
Safety and Environmental Protection
Policy
■ Safety and Environmental protection are of critical importance to the company. The
Company is committed to conducting to ensure safety at sea, prevention of human
injury or loss of life, and avoidance of damage to property and the environment
(marine).
■ The Company seeks to develop, implement and maintain standards of safety and
environmental protection in line with what is considered and practical.
Safety and Environmental Protection
Policy
■ Policy Objectives
– The specific objectives of the Company’s safety and environmental protection policy are
to:
■ Provide for safe practices in ship operation;
■ List of safeguards against all identified risks;
■ Provide a safe working environment;
■ Prevent human injury or loss of life;
■ Avoid damage to property and the environment, in particular, the marine environment;, and
■ Continue to improve the safety management skills of shipboard and shore-based personnel
including preparing for emergencies related both to safety and environmental protection.
Safety and Environmental Protection
Policy
■ Implementation
In order to achieve the above objectives the Company has adopted a safety and
environmental protection policy that seeks to ensure:
– Compliance with relevant mandatory rules and regulations; and
– Recognition of applicable codes, guidelines, and standards recommended by the
International Maritime Organization (IMO), relevant flag States, classification
societies, and maritime industry organizations.
Safety and Environmental Protection
Policy
■ Functional Elements
The Company has included the following functional elements in the development, implementation,
and maintenance of the safety and environmental protection policy:
– Oil pollution prevention equipment and procedures
– Instructions and procedures to ensure safe operation of ships and protection of the environment in
compliance with relevant international and flag state legislation;
– Define levels of authority and lines of communication between and amongst shore and shipboard
personnel;
– Procedures for reporting accidents and non-conformancies within the provisions of the ISM code;
– Procedures to prepare for and respond to emergency situations, and
– Procedures for internal audits and management reviews.
Safety and Environmental Protection
Policy
■ Company Commitment
The Company must have developed and implemented written safety management system
that applies to all levels of the Organization, including:
– All shore-based locations;
– All vessels, and
– All those personnel who are directly involved or employed at these locations and on
all vessels.
In order to meet our objectives in safety and environmental protection, the Company
requires total commitment from all personnel who are directly involved in Company
operations. This includes shore-based managers and staff, vessel masters, officers and
crew where applicable.
Safety and Environmental Protection
Policy
■ Organizational Responsibility
The owner/operator must accept overall responsibility for all matters related to safety
and environmental protection.
Company Responsibility and Authority

■ Policy
If the person who is responsible for the operation of the Company or vessel(s) is other
than the owner, the owner will report the full name and details of such person to the
U.S. Coast Guard.
The Company defines and documents the responsibilities, authority, and interrelation
of all personnel who manage, perform, and verify work relating to and affecting safety
and pollution
prevention.
It is Company policy to ensure that resources and shore-based support are provided to
enable the designated person(s) to carry out their functions.
Company Responsibility and Authority

■ Policy Implementation
Details of vessel owner(s) and operator(s) must be provided to any Port Authorities. Details of this
reporting procedure is outlined here in this section.
The SMS must provide comprehensive details of the roles played by all personnel. Job descriptions are
provided for each person involved in the SMS. Lines of authority and reporting are detailed in
organizational charts that are also found in this section.
The Company must provide a designated person(s) with adequate resources and support to perform their
duties with respect to the SMS. Company policy is implemented through various SMS procedures, such
as monitoring of the performance of each vessel in safety and environmental protection matters,
provision, and availability of adequate spare parts. Company review of the
SMS and regular assessments of the allocation of financial and material resources to safety and
environmental protection measures. Details of the various provisions are contained throughout the SMS
documentation.
Company Responsibility and Authority

■ Organizational Responsibility
The person responsible for the operation of the Company or vessel must be listed on
this section.
Company Organizational Chart

■ Overall Responsibility
– Accepts overall responsibility for all matters related to safety and environmental
protection.
■ Management Responsibility
– Are responsible for:
■ Ensuring their own safety
■ The safety of others
■ Protecting the environment
Company Organizational Chart

■ Individual Responsibility
– Are responsible for:
– Ensuring their own safety
– The safety of others
– Protecting the environment
Job Description

■ Title
■ Vessel Name
■ Immediate Superior
■ Required Qualifications
■ General Responsibilities for Safety and Environmental Protection
■ Specific Responsibilities
■ Emergency Responsibilities
■ SMS Responsibilities
Designated Person(s)

■ Policy
It is Company policy to appoint and to list in writing a designated person(s).
■ Implementation
The Company must appoint a Designated Person to carry out the company’s onshore responsibility
and authority for the SMS.
■ Responsibility and Authority
The written responsibility of the designated person(s) shall include monitoring the safety and
pollution prevention aspects of the operation of each ship. The Company shall ensure that adequate
resources and shore-based support are provided to enable the designated person to carry out his or
her SMS responsibilities, as required. The designated person is given the authority to perform his or
her duties from the highest authority in the company and has a direct access to highest levels of
management ashore and abroad the company’s vessel(s).
Master’s Responsibility

■ Policy
It is company policy to define and document the Master’s responsibility and his or her
overriding authority in relation to matters of safety and of environmental protection in
accordance with the following requirements:
– implementing the safety and environmental protection policy of the company;
– motivating the crew in the observation of that policy;
– issuing appropriate orders and instructions in a clear and simple manner;
– verifying that specified requirements are observed; and
– reviewing the SMS and reporting its deficiencies to shore-based management.
Master’s Responsibility

■ Policy Implementation:
– The Master’s duties and responsibilities are set out in his or her job description.
– He must receive his or her authority from the highest levels of company
management.
– The Master must have the overriding authority and responsibility with respect to
safety and pollution prevention on board his or her vessel and can request any
assistance from the company as may be deemed necessary.
Job Description

■ Title
■ Vessel Name
■ Immediate Superior
■ Letter of Appointment
■ Required Qualifications
■ General Responsibilities for Safety and Environmental Protection
■ Specific Responsibilities
■ Emergency Responsibilities
■ Master’s Authority
Resource and Personnel

■ Policy
Stated in this section that the company policy is to provide resources and personnel
■ Policy Implementation
The Company shall appoint the Master
– − possess the required level of training and competence to command the type of
vessel to which they are assigned;
– hold appropriate internationally recognized certificates; and
– are fully conversant with the Company’s SMS.
Resource and Personnel

■ Policy Implementation (cont’n)

– ensure that the master is given the necessary support so that his or her duties can be safely performed.
– ensure that each ship is manned with qualified, certificated, and medically fit seafarers in accordance
with national and international requirements.
– establish procedures to ensure that new personnel and personnel transferred to new assignments related
to safety and protection of the environment are given proper familiarization with their duties.
Instructions which are essential to be provided prior to sailing should be identified, documented, and
given to personnel.
– ensure that all personnel involved in the Company’s SMS have an adequate understanding of relevant
rules, regulations, codes, guidelines, and responsibilities regarding to the SMS.
– identify and provide needed training to support the SMS for all personnel concerned.
– communicate relevant information on the SMS to those affected in a language(s) understood by them.
– ensure that the ship’s personnel are able to communicate effectively with each other and with the
passengers in the execution of their duties related to the SMS.
Vessel Operating Procedures

■ Introduction
This section contains details and definitions of many of the operating procedures in
place on board the vessel. Specific instructions for every operation are not provided.
The procedures are concise and provide documentation in manageable proportions,
which can be readily understood by all relevant shipboard personnel. Only qualified
persons should be assigned to specific tasks.
Vessel Operating Procedures

■ Contents
– Section 1 – General
■ Certificate of Inspection
■ Certificates and Documentations
■ Master’s Standing Instructions
■ Discharges of Oils and Garbage
■ Working Hours
■ Personnel Management and Standards
■ On Board Arrangements
Vessel Operating Procedures

■ Contents (cont’n)
– Section 2 – Prior to Getting Underway
■ Check Stability
■ Assessment of Weather Conditions
■ Securing Loading Doors, Hatches, and all Openings
■ Pre-Underway Checklist
■ Voyage Plan and Verification of Nautical Charts and Publications
■ Loading and Discharging Passengers
■ Fuelling and Ventilation Requirements for Gas Powered Vessels
Vessel Operating Procedures

■ Contents (cont’n)
– Section 3 - Underway
■ Bridge Watchkeeping Arrangements
■ Other Watchkeeping Arrangements
■ Special Requirements for Bad Weather and Fog
Emergency Preparedness

■ Policy
In this section states that the company policy must ensure the emergency preparedness
of the company and of each vessel.
■ Policy Implementation
The company must have to establish procedures within this chapter to identify,
describe, and respond to possible emergency preparedness.
The company has to establish programs for emergency drills and exercises.
he company has to prepare measures for ensuring that the company is able to respond
at any time to hazards, accidents, and emergency situations involving its vessel(s).
Emergency Preparedness

■ References
– Fire Fighting Drills and Trainings
– Abandon Ship and Man Overboard Drills and Training
– Discharge of Oil, Garbage, and Response to Pollution
– Fire
– Flooding and Flood Control
– Man Overboard
– First Aid
Documentation

■ Policy
It must be stated that it is the policy of the company is ensuring procedures are
developed to control all documents and data relating to the SMS. All valid documents
will be available in the appropriate locations. Changes of documents will be reviewed
and approved by authorized personnel and outdated documents will be promptly
destroyed.
■ Policy Implementation
Chapter must be stated that the SMS document control procedures where it is located.
Documentation

■ Implementation
Document Control
– SMS documentation should include only what is necessary to cover the application
of the system to safety and environmental protection.
– Each vessel should carry all documents relevant to that vessel’s operations.
– All new documents and changes should be approved prior to issue and be
examined for adequacy and user friendliness regularly.
– Documents that are outdated should be destroyed in a timely manner.
Documentation

■ Implementation(cont’n)
Availability of Documents
– The methods of distributing documents and the place or person designated to keep
them should be clearly defined.
– SMS documentation relevant to the ship should be placed on board, and the master
will be responsible for the control of these documents. A person ashore should also
be designated to monitor the control, amendment, approval, and distribution of
SMS documentation.
Documentation

■ Implementation(cont’n)
Changes of Documents
– Changes to existing documents should be readily identifiable; relevant personnel,
including personnel ashore, should be notified of all changes.
– Personnel affected by the changes should be involved in defining and
implementing the changes.
■ Obsolete Documents
– Obsolete documents should be removed and destroyed. Only the person
responsible for the documentation control should retain copies of obsolete
documents.
Company Verification and Review

■ Policy
It must be stated that the company policy is to ensure that the procedures developed
within the SMS are being enacted properly. The company has schedule periodic
evaluations of the safety management system’s efficiency and review of the system in
accordance with the established procedures of the company. The company should
determine types and frequency of internal audits, when they are required, how they are
reported, and possible corrective actions, if necessary. There should be determining
factors for the selection of personnel, independent of the area being audited, to
complete internal company and vessel audits. The procedures for communication and
reporting of internal audit findings for critical management review and to ensure
management personnel of the area audited take timely and corrective action of
deficiencies found should be documented.
Company Verification and Review

■ Policy Implementations: SMS Internal Auditing

General
This procedure provides the company with an internal auditing tool to ensure the
Safety Management System currently implemented is being maintained and enforced
throughout the company.
Responsibility
The designated person is responsible to ensure that scheduled company and vessel
SMS internal audits are performed and any non-conformities are documented and
remedied.
Company Verification and Review

■ Policy Implementations: SMS Internal Auditing (cont’n)

Procedure
Reporting lines relating to the internal SMS auditing must be clearly defined and incorporated all levels
within the safety management organizational structure section.
Before the audit:
– schedule audits far enough in advance in order to give proper notification to all personnel necessary
for the audit, in particular the auditee.
During the audit, auditors should:
– equip themselves with relevant documentation.
– interview personnel regarding operational procedures.
– observe how operations are carried out.
– fill out a non-conformity report if necessary.
Company Verification and Review

■ Policy Implementations: SMS Internal Auditing (cont’n)

After completing the audit, auditors must:
– report to the relevant head of the office or master of the ship being audited.
– prepare a documented report containing all major audit findings
– ensure that the audit reports are distributed to relevant personnel in the safety
management system.
Thank you