This subpart establishes the minimum standards that the safety management system of a company and its U.S. flag vessel(s) must meet for certification to comply with the requirements of 46 U.S.C. 3201-3205 and Chapter IX of SOLAS, 1974. It also permits companies with U.S. flag vessels that are not required to comply with this part to voluntarily develop safety management systems which can be certificated to standards consistent with Chapter IX of SOLAS.
(a) This subpart applies—
(1) To a responsible person who owns or operates a U.S. vessel(s) engaged on a foreign voyage which meet the conditions of paragraph (a)(2) of this section;
(2) To all U.S. vessels engaged on a foreign voyage that are—
(i) A vessel transporting more than 12 passengers; or
(ii) A tanker, a bulk freight vessel, a freight vessel or a self-propelled mobile offshore drilling unit (MODU) of 500 gross tons or more; and
(3) To all foreign vessels engaged on a foreign voyage, bound for ports or places under the jurisdiction of the U.S., and subject to Chapter IX of SOLAS.
(b) This subpart does not apply to—
(1) A barge;
(2) A recreational vessel not engaged in commercial service;
(3) A fishing vessel;
(4) A vessel operating only on the Great Lakes or its tributary and connecting waters; or
(5) A public vessel, which includes a U.S. vessel of the National Defense Reserve Fleet owned by the U.S. Maritime Administration and operated in non-commercial service.
(c) Any responsible person and their company who owns and operates a U.S. flag vessel(s) which does not meet the conditions of paragraph (a), may voluntarily meet the standards of this part and Chapter IX of SOLAS and have their safety management systems certificated.
(d) The compliance date for the requirements of this part are—
(1) On or after July 1, 1998, for—
(i) Vessels transporting more than 12 passengers engaged on a foreign voyage; or
(ii) Tankers, bulk freight vessels, or high speed freight vessels of at least 500 gross tons or more, engaged on a foreign voyage.
(2) On or after July 1, 2002, for other freight vessels and self-propelled mobile offshore drilling units (MODUs) of at least 500 gross tons or more, engaged on a foreign voyage.
(a) The safety management system must document the responsible person's—
(1) Safety and pollution prevention policy;
(2) Functional safety and operational requirements;
(3) Recordkeeping responsibilities; and
(4) Reporting responsibilities.
(b) A safety management system must also be consistent with the functional standards and performance elements of IMO Resolution A.741(18).
The safety management system must:
(a) Provide for safe practices in vessel operation and a safe work environment onboard the type of vessel the system is developed for;
(b) Establish and implement safeguards against all identified risks;
(c) Establish and implement actions to continuously improve safety management skills of personnel ashore and aboard vessels, including preparation for emergencies related to both safety and environmental protection; and
(d) Ensure compliance with mandatory rules and regulations, taking into account relevant national and international regulations, standards, codes and maritime industry guidelines, when developing procedures and policies for the safety management system.
The functional requirements of a safety management system must include—
(a) A written statement from the responsible person stating the company's safety and environmental protection policy;
(b) Instructions and procedures to provide direction for the safe operation of the vessel and protection of the environment in compliance with the applicable U.S. Code of Federal Regulations, and international conventions to which the U.S. is a party (SOLAS, MARPOL, etc.);
(c) Documents showing the levels of authority and lines of communication between shoreside and shipboard personnel;
(d) Procedures for reporting accidents, near accidents, and non-conformities with provisions of the company's and vessel's safety management system, and the ISM Code;
(e) Procedures to prepare for and respond to emergency situations by shoreside and shipboard personnel;
(f) Procedures for internal audits on the operation of the company and vessel(s) safety management system; and
(g) Procedures and processes for management review of company internal audit reports and correction of non-conformities that are reported by these or other reports.
The documents and reports required for a safety management system under § 96.330 or § 96.340 must include the written documents and reports itemized in Table 96.250. These documents and reports must be available to the company's shore-based and vessel(s)-based personnel:
Table 96.250—Safety Management System Documents and Reports
| Type of documents and reports
| Specific requirements
|
|---|
| (a) Safety and environmental policy statements | (1) Meet the objectives of § 96.230; and
(2) Are carried out and kept current at all levels of the company;
|
| (b) Company responsibilities and authority statements | (1) The owners name and details of responsibility for operation of the company and vessel(s);
(2) Name of the person responsible for operation of the company and vessel(s), if not the owner;
|
| | (3) Responsibility, authority and interrelations of all personnel who manage, perform, and verify work relating to and affecting the safety and pollution prevention operations of the company and vessel(s); and
|
| | (4) A statement describing the company's responsibility to ensure adequate resources and shore-based support are provided to enable the designated person or persons to carry out the responsibilities of this subpart.
|
| (c) Designation in writing of a person or persons to monitor the safety management system for the company and vessel(s) | (1) Have direct access to communicate with the highest levels of the company and with all management levels ashore and aboard the company's vessel(s);
(2) Have the written responsibility to monitor the safety and environmental aspects of the operation of each vessel; and
(3) Have the written responsibility to ensure there are adequate support and shore-based resources for vessel(s) operations.
|
| (d) Written statements that define the Master's responsibilities and authorities | (1) Carry out the company's safety and environmental policies;
(2) Motivate the vessel's crew to observe the safety management system policies;
|
| | (3) Issue orders and instructions in a clear and simple manner;
|
| | (4) Make sure that specific requirements are carried out by the vessel's crew and shore-based resources; and
|
| | (5) Review the safety management system and report non-conformities to shore-based management.
|
| (e) Written statements that the Master has overriding responsibility and authority to make vessel decisions | (1) Ability to make decisions about safety and environmental pollution; and
(2) Ability to request the company's help when necessary.
|
| (f) Personnel procedures and resources which are available ashore and aboard ship. | (1) Masters of vessels are properly qualified for command;
(2) Masters of vessels know the company's safety management system;
(3) Owners or companies provide the necessary support so that the Master's duties can be safely performed;
|
| | (4) Each vessel is properly crewed with qualified, certificated and medically fit seafarers complying with national and international requirements;
|
| | (5) New personnel and personnel transferred to new assignments involving safety and protection of the environment are properly introduced to their duties;
|
| | (6) Personnel involved with the company's safety management system have an adequate understanding of the relevant rules, regulations, codes and guidelines;
|
| | (7) Needed training is identified to support the safety management system and ensure that the training is provided for all personnel concerned;
|
| | (8) Communication of relevant procedures for the vessel's personnel involved with the safety management system is in the language(s) understood by them; and
|
| | (9) Personnel are able to communicate effectively when carrying out their duties as related to the safety management system.
|
| (g) Vessel safety and pollution prevention operation plans and instructions for key shipboard operations. | (1) Define tasks; and
(2) Assign qualified personnel to specific tasks.
|
| (h) Emergency preparedness procedures. | (1) Identify, describe and direct response to potential emergency shipboard situations;
(2) Set up programs for drills and exercises to prepare for emergency actions; and
(3) Make sure that the company's organization can respond at anytime, to hazards, accidents and emergency situations involving their vessel(s).
|
| (i) Reporting procedures on required actions. | (1) Report non-conformities of the safety management system;
(2) Report accidents;
(3) Report hazardous situations to the owner or company; and
(4) Make sure reported items are investigated and analyzed with the objective of improving safety and pollution prevention.
|
| (j) Vessel maintenance procedures. (These procedures verify that a company's vessel(s) is maintained in conformity with the provisions of relevant rules and regulations, with any additional requirements which may be established by the company.) | (1) Inspect vessel's equipment, hull, and machinery at appropriate intervals;
(2) Report any non-conformity or deficiency with its possible cause, if known;
(3) Take appropriate corrective actions;
(4) Keep records of these activities;
(5) Identify specific equipment and technical systems that may result in a hazardous situation if a sudden operational failure occurs;
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| | (6) Identify measures that promote the reliability of the equipment and technical systems identified in paragraph (j)(5), and regularly test standby arrangements and equipment or technical systems not in continuous use; and
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| | (7) Include the inspections required by this section into the vessel's operational maintenance routine.
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| (k) Safety management system document and data maintenance | (1) Procedures which establish and maintain control of all documents and data relevant to the safety management system.
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| | (2) Documents are available at all relevant locations, i.e., each vessel carries on board all documents relevant to that vessels operation;
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| | (3) Changes to documents are reviewed and approved by authorized personnel; and
|
| | (4) Outdated documents are promptly removed.
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| (l) Safety management system internal audits which verify the safety and pollution prevention activities | (1) Periodic evaluation of the safety management system's efficiency and review of the system in accordance with the established procedures of the company, when needed;
(2) Types and frequency of internal audits, when they are required, how they are reported, and possible corrective actions, if necessary;
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| | (3) Determining factors for the selection of personnel, independent of the area being audited, to complete internal company and vessel audits; and
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| | (4) 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 on non-conformities or deficiencies found.
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