Level 2 SMP Guidelines

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MARINE and SAFETY TASMANIA

MAST Guidelines for Level 2 SafetyManagement Plan

INTRODUCTION

OVERVIEW


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The principal objective of MAST is to promote a safe maritime environment.The Marine and Safety (Safe Operation) Regulations 2003 mandate SafetyManagement Plans (SMP) for commercial passenger carrying vessels.

Statistical analysis of marine accidents indicates that a human being playssome part in virtually every incident. Frequently it is found that some one

was aware of a potential hazard but failed to take corrective action. Theregulation of the technical aspects of vessel operations ie standards ofvessels and licensing of operators can only achieve part of the objective ofsafe and pollution free vessel operations. An SMP addresses operationaland human factors.

The aim of the SMP is to minimise the potential for poor human decisions.The SMP should address operational issues to avoid unnecessary risk andto minimise risk that cannot be avoided. Arrangements should be made toensure that all staff are properly informed and trained to fulfil theiroperational responsibilities safely. The effectiveness of procedures andequipment onboard the vessel essential for safety must be monitored andmaintained. Records of incidents relevant to safety should be kept andreported to the responsible person and if required the Authority. Provisionmust be made for recording passenger comments in the event of an incidentAction shall be taken to minimise future risk.

PURPOSE

This guide is designed to assist vessel operators in the development of aLevel 2 Safety Management Plan (SMP) to meet the requirements of MASTregulations for passenger vessels in Tasmania.

LEVEL 2 SAFETY MANAGEMENT PLAN

The owner of a vessel must apply to MAST for a determination of the type ofSMP required. Level 1 SMPs are more comprehensive and are appropriateto more complex vessels and/or higher risk operations. Level 2 SMPs aresimpler and reflect smaller, lower complexity operations. Generally, a vesselthat is less than 12m in length or carries less than 12 passengers will berequired to have a Level 2 SMP.

MINIMUM REQUIREMENTS FOR A LEVEL 2 SAFETY MANAGEMENTPLAN

Documentation

A quarterly operational safety procedures check list shall be utilised toassess the performance of the SMP, (a sample operational checklist is


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attached). This checklist shall form part of the Safety Management Manual(SMM).

A current version of the SMM shall be held on file at MAST.

A copy of the SMM shall be kept aboard the vessel (if possible) and ashorein a secure place, available to the crew and shore staff.

All records required to be maintained shall be kept for a minimum period of 5years from the date of entry.

The SMM shall be in plain language and structured so as to provide readyreference to its contents.

Individual personnel details shall be stored separately where they can beaccessed by a responsible person in the event of an emergency. Thisinformation is not included in the SMM as it conflicts with privacy obligations.

Applicable ancillary documents (e.g. statutory rules and regulations) shall bereferenced in the SMM and be available to allow crew and staff to fulfil theirresponsibilities.

Where a SMM is not a stand alone document, ie it refers to other operationalmanuals a current version of such documentation shall be held on file atMAST.

Owners details

The SMM should include details of the name/s of the owner of the vesseland the operator, if different from the owner. Along with contact address,email address and emergency contact details.

Description of the vessel and its operations

The SMM shall provide a vessel description and describe the areas in whichthe vessel actually operates and the type of voyages undertaken.

Survey operational limits, passenger capacity and owner restrictions

The SMM shall detail the survey operational limits and the number ofpassengers the vessel is certified to carry. It shall also state any additionalowner restrictions for safe operations.

Crew qualifications and crewing

The SMM shall detail:

1. the vessels adequate manning for all classes of survey held. This

shall be as determined by the Authority and detailed in the SurveyRecord Book.


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2. the number of qualified crew required for all classes of survey held.The term qualified crew refers to any person serving on the vesselwho holds the qualifications of Elements of Shipboard Safety andWorkplace Level 2 First Aid or equivalent.

3. any additional owner requirements for safe operations concerning

manning, crew qualifications and competencies.

Note: The manning requirement for qualified crew is to be based on thenumber of passengers being carried. For a Class 1 or Class 2 vesselcarrying 40 or less passengers 2 qualified crew are required, or 1 if theMaster is the only crew.

Duties and responsibilities

A brief job description for each position shall be included so that each staffmember on shore and each crew member onboard understands his/her

duties and responsibilities.Induction of crew and shore staff

The SMM shall identify the requirements for induction training and providefor a record that all crew and shore staff have completed appropriatetraining. Arrangements shall be made that until each crew member has beenassessed as competent to work without supervision, that adequatesupervision is provided.

All crew and key shore staff with responsibility towards vessel safety shall beable to communicate effectively and be able to understand instructions in a

common language. Where illiteracy is a problem there will need to be astrategy in place to overcome any safety or record keeping issues that mayarise from the illiteracy.

Voyage report

The master must ensure that crew details and passenger numbers for allvoyages are recorded. An authorised person must be able to gain immediateelectronic or other access to this information and a voyage plan.

Log book records

The SMM shall identify the requirements for record keeping. Logbook entriesshould be in ink, dated, accurate, legible and made as soon after theoccurrence as possible. Entries should be signed by the person making theentry. The vessels log book may be kept onboard, or where it is notpracticable to maintain a book onboard, on shore. The following informationshould be entered:


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1. Names and position of crew2. Number of passengers onboard3. Activities of the vessel4. Position of the vessel5. Navigational route6. Illness or injury to persons onboard7. Initial safety brief8. Emergency preparedness training and any other safety training9. Any incident or accident involving the vessel or its equipment10. Any assistance rendered to another vessel11. Details of any unusual occurrence or incident12. Details of any emergency communications13. Known defects

If separate engineering records are not maintained additional information(eg. fuel and liquid levels, operating hours of machinery, operatingtemperatures of machinery etc.) should be entered in the logbook as

appropriate to the vessel.

General policy and procedures

The SMM shall have clear policies or procedures to address relevant issuessuch as:

1. Drug and alcohol policy2. Smoking policy3. A means of recording and evaluating customer feedback4. A means for staff to make recommendations and have an active input

into the development and ongoing operation of the SMP.

Emergency procedures

Procedures for responding to potential onboard emergency situations shallbe addressed, including vessel particular and operation specific hazards.

The following is a minimum list of sample emergencies:

1. Person overboard2. Medical emergency / injury3. Fire

4. Collision / grounding / flooding5. Abandon ship

Operational procedures

The SMM will detail procedures for standard operations. The nature of thevessel and the type of work undertaken will determine key operations.Procedures should be developed for operations and activities that presentthe greatest risk to the crew, passengers, vessel and the environment.

The following is a list of sample operations.


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Vessel Operations:

1. Start up checks2. Shut down checks3. Maintenance of vessel and machinery4. Communications5. Passenger briefings6. Shore trips7. Transferring of people to and from the vessel8. Reporting of incidents9. Operating in restricted visibility10. Operating in deteriorating weather conditions11. Management of sea sickness12. Management of exposure to sun or low temperatures13. Specialised operational tasks

Machinery Operations:14. Main and auxiliary engines15. Bilge pumping system16. Electrical system17. Fuel system & refuelling18. Cooling system19. Emergency steering20. Spare parts

Insurance, licences and certificates

A copy of the companys current public liability insurance policy should bekept in the SMM. This should have a minimum cover of $10M. A copy of allrelevant licences eg. Vessel Survey, Radio Licence, National Parks Licence,Liquor Licence, Health etc. shall be kept in the SMM. Relevant crewqualifications must be kept current and copies of these qualifications mustbe maintained in the SMM. This would include but not be limited tocertificates of competency, Radio Operators Certificate, Elements ofShipboard Safety and First Aid Certificates.

Certificates already held in the Vessel Survey Record Book need not beduplicated in the SMM.

Auditing & evaluation

Compliance with the SMP (both ashore and afloat) shall be audited by aMAST representative. These audits may occur on a random basis, aftercomplaints from the public, after a marine incident or after deficiences arenoted in a periodic inspection.


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On these visits MAST will be looking to check the effectiveness of the SMP.The crew will be asked about their knowledge of the SMP and theappropriateness of the instructions. The MAST representative will travel onthe vessel and observe how it is managed. Crew will be asked about theirrole in managing risk. Crew will be required to respond to a simulatedemergency, such as a person overboard scenario.

Mast random audits are not to disrupt the normal operation of the vesselunless MAST believe that there are serious breaches of safety that have thepotential to cause immediate harm to persons, property or the environment.A vessel owner will be given a minimum of 7 days notice in writing for arandom audit.

As a guide, it is MASTs intention to audit the SMP twice in its first year ofoperation and between once and four times over the next two years.

More frequent internal audits by staff are a valuable tool for monitoring the

effective implementation of the SMP.

SAFETY MANAGEMENT PLAN APPROVAL PROCESS

1. Register with MAST Safety Management Program. This can be done bycompleting and forwarding the Safety Management Registration form orcontacting the Manager for Commercial Vessel Operations on 62335029.

2. Develop an SMP and write the SMM. If possible crew and staff should begiven the opportunity to have input into the SMP. The MASTrepresentative for safety management will if need arise be able to offer

advice in the development of a SMP.

3. Once the SMM is written, MAST will assess the manual and check thatall details have been addressed. If all requirements are met you will beissued with a SMM compliance letter.

4. A MAST representative will visit the vessel within 1 month of issuing theSMM compliance letter to check that the SMP documentation is availablefor use. And to ensure that operational procedures and practices statedin the SMP are understood and adopted by the master, crew, andrelevant shore staff.

If all requirements are met the owner will be issued with an SMPcompliance certificate.

5. The surveyor will inspect the operational check list and the SMM at thenext survey to make sure that it is being used and that all thedocumentation is complete.

6. There will also be random visits from a MAST representative.

COST

The cost to the vessel owner will include:

1. Writing an SMM at the owners expense

2. The initial documentation assessment by MAST no charge for thefirst 2 hours. A well prepared SMM should require less than 2 hours to


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assess, if additional time is required a fee of $82.50 + GST an hourwill be charged.

3. SMP approval will be exempt from fees until September 30th 2004.Vessels applying for approval after September 30th will incur a fee of$220 + GST (Class 1), $137.50 + GST (Class 2).

4. Inspections at the annual survey will incur a fee of $10 for vessels12m and under and $30 for vessels over 12m.

5. Random audits will incur no charge. If a vessel is found to beoperating in non compliance with its SMP then the owner will berequired to meet the costs of a return audit.

6. If a vessel is found to have serious deficiencies the SMP approvalmay be suspended. A revocation of that suspension would incur acharge of $50.

SAMPLE OPERATIONAL CHECKLIST

Instructions for using the Operational Checklist:


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Owner to confirm that the operation of the vessel complies with each item in the

following table by signing in the appropriate right hand column at the end of month

3, 6, 9 and 12 after the annual survey.

This checklist is a guide and can be modified as required to reflect an owners

requirements.

Operational Checklist and supporting documentation shall be provided to the

Authority or auditor upon request.

Vessel Name: Owner:

Period: From / / to: / /

Section 1 Mandatory for all vessels

Emergency

preparation

Description Months (initial)

1 2 3 4

Musterstations

There is a process for checking that al l people onboardcan be accounted for and readied for further emergencyactions.

Personoverboard

Crew are practised at recovering a person from thewater.

Fire There is an organised response to a fire in any area of

the vessel.

Collision/grounding

There is an organised response for actions following acollision or grounding.

Flood Crew are practised at response to a flood situation

Abandonship

There is an organised response to a decision toevacuate the vessel.

Severeweather

There is a plan to secure the vessel in the event ofsevere weather.

Medicalemergency /serious injury

There is a plan to provide medical assistance, obtainexpert advice and provide evacuation


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Section 2 Discretionary for all vessels

Seamanship Description Months (Initial)

1 2 3 4

Preparing forsea

The readiness of the vessel, crew and, the suitabilityof the weather are systematically checked prior tocommencing operation.

Watchkeeping Manning and layout arrangements allow a safe watchto be kept at all times.

Communications

The communications equipment is adequate, is ingood order and working. It is regularly tested.

Navigation Navigation equipment is adequate, is in good orderand watchkeepers are competent with its use. It isregularly tested.

Search andrescue

Crew are trained at carrying out their duties shouldthe vessel be involved in a search and rescueincident.

Restrictedvisibility

The vessel crew are trained and practised atoperating the vessel in restricted visibility

Management

of watertightintegrity

Arrangements to prevent uncontrolled flooding are

understood by each crewmember.

Dangerousgoods andhazardousmaterial

The carriage of dangerous goods and hazardousmaterials is managed to minimise risk to the people,vessel or the environment.

Manoeuvringand steering

Crew are practised at alternative steeringarrangements.

Mooring Crew are practised at mooring the vessel.

Anchoring Crew are practised at anchoring the vessel.

Towing The crew are practised at rigging a tow.

Transferringpeople to and

from thevessel

Each crewmember is practiced at transferring peopleto and from the vessel.


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Operatingboats andtenders

Crew required to work in boats and tenders havebeen trained in their safe operation.

Working aloftor over theside

All crew understand the precautions when workingaloft or over the side.

Working withlines

All crew understand the dangers and know how towork with lines under strain.

Passengersafety briefing

Passengers are provided with safety information toenable them to minimise their exposure to risk.(Passenger Safety Briefing).

(Add extra as required)


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Machinery

and

maintenance

Description Months (Initial)

1 2 3 4

Operatingplant andmachinery

Crew are trained in the safe use of all plant andmachinery as appropriate to their duties.

Refuelling Any risk of pollution is minimised whilst refuelling.

Pumping ofbilges

Arrangements permit the bilges to be kept clean andoil free to prevent the discharge of oil overboard.

Maintenance

of the vessel,its plant andmachinery

There is a regular system of maintenance to ensure

the vessel, and all plant and machinery is in safeworking order.

Enclosedspaces

All crew understand the dangers of enclosed spacesonboard. They understand the precautions to betaken before entering an enclosed space.



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Environment Description Months (Initial)

1 2 3 4

Disposal ofgarbage

Garbage is routinely disposed of as required by law.

Disposal ofwaste oil

Waste oil is routinely disposed of as required by law.

Disposal ofsewage

Sewage is routinely disposed of as required by law.

Noise pollution Noise from the vessel is minimised and managed asrequired by law.

Air pollution Crew with responsibilities for operating machineryunderstand the importance of maintaining cleanexhausts

Anchoring onor nearsensitive

environments

Damage to sensitive environments through anchoringor other operations is minimised.



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Administration Description Months (Initial)

1 2 3 4

Records Records are kept of the identity of each crewmemberas required by the authority. Passengers onboard canbe accounted for.

Recordkeeping

A log in an appropriate form is maintained along withother required records

Incidentreporting

Incidents are reported as required by the Authority.

Identificationof hazards

All spaces on the vessel and the upper deck areroutinely checked for slip and trip hazards andhazards to people.

Crew trainingandresponsibilities

Each crewmember understands their duties and istrained to competently perform their duties.

Onboard Safety Training (Induction training) and drillshave been carried out and are recorded.

Recordkeeping

Records are kept of the routine operation of thevessel.


Office use only

Checked at annual survey By: Port: Date:

Checked at audit By: Port: Date:

Checked at random audit By: Port: Date:

Documents

Level 2 SMP Guidelines