| Type of documents and reports
| Specific requirements
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|---|
| (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;
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| (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;
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| | (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
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| | (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.
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| (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.
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| (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;
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| | (3) Issue orders and instructions in a clear and simple manner;
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| | (4) Make sure that specific requirements are carried out by the vessel's crew and shore-based resources; and
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| | (5) Review the safety management system and report non-conformities to shore-based management.
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| (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.
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| (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;
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| | (4) Each vessel is properly crewed with qualified, certificated and medically fit seafarers complying with national and international requirements;
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| | (5) New personnel and personnel transferred to new assignments involving safety and protection of the environment are properly introduced to their duties;
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| | (6) Personnel involved with the company's safety management system have an adequate understanding of the relevant rules, regulations, codes and guidelines;
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| | (7) Needed training is identified to support the safety management system and ensure that the training is provided for all personnel concerned;
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| | (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
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| | (9) Personnel are able to communicate effectively when carrying out their duties as related to the safety management system.
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| (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.
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| (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).
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| (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.
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| (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
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| | (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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