MARINE and SAFETY TASMANIA

MAST Guidelines for Level 2 Safety Management Plan

INTRODUCTION
OVERVIEW

The principal objective of MAST is to promote a safe maritime environment. The Marine and Safety (Safe Operation) Regulations 2003 mandate Safety Management Plans (SMP) for commercial passenger carrying vessels. Statistical analysis of marine accidents indicates that a human being plays some part in virtually every incident. Frequently it is found that some one was aware of a potential hazard but failed to take corrective action. The regulation of the technical aspects of vessel operations ie standards of vessels and licensing of operators can only achieve part of the objective of safe and pollution free vessel operations. An SMP addresses operational and 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 and to minimise risk that cannot be avoided. Arrangements should be made to ensure that all staff are properly informed and trained to fulfil their operational responsibilities safely. The effectiveness of procedures and equipment onboard the vessel essential for safety must be monitored and maintained. Records of incidents relevant to safety should be kept and reported to the responsible person and if required the Authority. Provision must be made for recording passenger comments in the event of an incident Action shall be taken to minimise future risk. PURPOSE This guide is designed to assist vessel operators in the development of a Level 2 Safety Management Plan (SMP) to meet the requirements of MAST regulations 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 of SMP required. Level 1 SMPs are more comprehensive and are appropriate to more complex vessels and/or higher risk operations. Level 2 SMPs are simpler and reflect smaller, lower complexity operations. Generally, a vessel that is less than 12m in length or carries less than 12 passengers will be required to have a Level 2 SMP.

MINIMUM REQUIREMENTS FOR A LEVEL 2 SAFETY MANAGEMENT PLAN Documentation A quarterly operational safety procedures check list shall be utilised to assess 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 ashore in a secure place, available to the crew and shore staff. All records required to be maintained shall be kept for a minimum period of 5 years from the date of entry. The SMM shall be in plain language and structured so as to provide ready reference to its contents. Individual personnel details shall be stored separately where they can be accessed by a responsible person in the event of an emergency. This information is not included in the SMM as it conflicts with privacy obligations. Applicable ancillary documents (e.g. statutory rules and regulations) shall be referenced in the SMM and be available to allow crew and staff to fulfil their responsibilities. Where a SMM is not a stand alone document, ie it refers to other operational manuals a current version of such documentation shall be held on file at MAST. Owners details The SMM should include details of the name/s of the owner of the vessel and 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 which the 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 of passengers the vessel is certified to carry. It shall also state any additional owner 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 Survey Record 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 vessel who holds the qualifications of Elements of Shipboard Safety and Workplace 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 the number of passengers being carried. For a Class 1 or Class 2 vessel carrying 40 or less passengers 2 qualified crew are required, or 1 if the Master is the only crew. Duties and responsibilities A brief job description for each position shall be included so that each staff member 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 provide for a record that all crew and shore staff have completed appropriate training. Arrangements shall be made that until each crew member has been assessed as competent to work without supervision, that adequate supervision is provided. All crew and key shore staff with responsibility towards vessel safety shall be able to communicate effectively and be able to understand instructions in a common language. Where illiteracy is a problem there will need to be a strategy in place to overcome any safety or record keeping issues that may arise from the illiteracy. Voyage report The master must ensure that crew details and passenger numbers for all voyages are recorded. An authorised person must be able to gain immediate electronic or other access to this information and a voyage plan.

Log book records The SMM shall identify the requirements for record keeping. Logbook entries should be in ink, dated, accurate, legible and made as soon after the occurrence as possible. Entries should be signed by the person making the entry. The vessels log book may be kept onboard, or where it is not practicable to maintain a book onboard, on shore. The following information should be entered:
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1. Names and position of crew 2. Number of passengers onboard 3. Activities of the vessel 4. Position of the vessel 5. Navigational route 6. Illness or injury to persons onboard 7. Initial safety brief 8. Emergency preparedness training and any other safety training 9. Any incident or accident involving the vessel or its equipment 10. Any assistance rendered to another vessel 11. Details of any unusual occurrence or incident 12. Details of any emergency communications 13. Known defects If separate engineering records are not maintained additional information (eg. fuel and liquid levels, operating hours of machinery, operating temperatures 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 issues such as: 1. Drug and alcohol policy 2. Smoking policy 3. A means of recording and evaluating customer feedback 4. 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 shall be addressed, including vessel particular and operation specific hazards. The following is a minimum list of sample emergencies: 1. 2. 3. 4. 5. Person overboard Medical emergency / injury Fire Collision / grounding / flooding Abandon ship

Operational procedures The SMM will detail procedures for standard operations. The nature of the vessel and the type of work undertaken will determine key operations. Procedures should be developed for operations and activities that present the 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 checks 2. Shut down checks 3. Maintenance of vessel and machinery 4. Communications 5. Passenger briefings 6. Shore trips 7. Transferring of people to and from the vessel 8. Reporting of incidents 9. Operating in restricted visibility 10. Operating in deteriorating weather conditions 11. Management of sea sickness 12. Management of exposure to sun or low temperatures 13. Specialised operational tasks Machinery Operations: 14. Main and auxiliary engines 15. Bilge pumping system 16. Electrical system 17. Fuel system & refuelling 18. Cooling system 19. Emergency steering 20. Spare parts Insurance, licences and certificates A copy of the companys current public liability insurance policy should be kept in the SMM. This should have a minimum cover of $10M. A copy of all relevant licences eg. Vessel Survey, Radio Licence, National Parks Licence, Liquor Licence, Health etc. shall be kept in the SMM. Relevant crew qualifications must be kept current and copies of these qualifications must be maintained in the SMM. This would include but not be limited to certificates of competency, Radio Operators Certificate, Elements of Shipboard Safety and First Aid Certificates. Certificates already held in the Vessel Survey Record Book need not be duplicated in the SMM.

Auditing & evaluation Compliance with the SMP (both ashore and afloat) shall be audited by a MAST representative. These audits may occur on a random basis, after complaints from the public, after a marine incident or after deficiences are noted 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 the appropriateness of the instructions. The MAST representative will travel on the vessel and observe how it is managed. Crew will be asked about their role in managing risk. Crew will be required to respond to a simulated emergency, such as a person overboard scenario. Mast random audits are not to disrupt the normal operation of the vessel unless MAST believe that there are serious breaches of safety that have the potential 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 a random audit. As a guide, it is MASTs intention to audit the SMP twice in its first year of operation 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 by completing and forwarding the Safety Management Registration form or contacting the Manager for Commercial Vessel Operations on 62335029. 2. Develop an SMP and write the SMM. If possible crew and staff should be given the opportunity to have input into the SMP. The MAST representative 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 that all details have been addressed. If all requirements are met you will be issued with a SMM compliance letter. 4. A MAST representative will visit the vessel within 1 month of issuing the SMM compliance letter to check that the SMP documentation is available for use. And to ensure that operational procedures and practices stated in the SMP are understood and adopted by the master, crew, and relevant shore staff. If all requirements are met the owner will be issued with an SMP compliance certificate. 5. The surveyor will inspect the operational check list and the SMM at the next survey to make sure that it is being used and that all the documentation 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 the first 2 hours. A well prepared SMM should require less than 2 hours to

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3.

4. 5.

6.

assess, if additional time is required a fee of $82.50 + GST an hour will be charged. 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). Inspections at the annual survey will incur a fee of $10 for vessels 12m and under and $30 for vessels over 12m. Random audits will incur no charge. If a vessel is found to be operating in non compliance with its SMP then the owner will be required to meet the costs of a return audit. If a vessel is found to have serious deficiencies the SMP approval may be suspended. A revocation of that suspension would incur a charge 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: Period: From / / to:

Owner: / /

Section 1 Mandatory for all vessels

Emergency preparation Description Months (initial) 1 Muster stations There is a process for checking that all people onboard can be accounted for and readied for further emergency actions. Crew are practised at recovering a person from the water. 2 3 4

Person overboard

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 a collision or grounding.

Flood

Crew are practised at response to a flood situation

Abandon ship

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

Severe weather

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

Medical emergency / serious injury

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

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Section 2 Discretionary for all vessels

Seamanship Description Months (Initial) 1 Preparing for sea The readiness of the vessel, crew and, the suitability of the weather are systematically checked prior to commencing operation. Manning and layout arrangements allow a safe watch to be kept at all times. 2 3 4

Watchkeeping

Communicatio ns

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

Navigation

Navigation equipment is adequate, is in good order and watchkeepers are competent with its use. It is regularly tested. Crew are trained at carrying out their duties should the vessel be involved in a search and rescue incident. The vessel crew are trained and practised at operating the vessel in restricted visibility

Search and rescue

Restricted visibility

Management of watertight integrity Dangerous goods and hazardous material Manoeuvring and steering

Arrangements to prevent uncontrolled flooding are understood by each crewmember.

The carriage of dangerous goods and hazardous materials is managed to minimise risk to the people, vessel or the environment. Crew are practised at alternative steering arrangements.

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.

Transferring people to and from the vessel

Each crewmember is practiced at transferring people to and from the vessel.

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Operating boats and tenders Working aloft or over the side Working with lines

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

All crew understand the precautions when working aloft or over the side.

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

Passenger safety briefing

Passengers are provided with safety information to enable them to minimise their exposure to risk. (Passenger Safety Briefing).
(Add extra as required)

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Section 3 Discretionary for all vessels

Machinery and maintenance Operating plant and machinery Refuelling Description Months (Initial) 1 Crew are trained in the safe use of all plant and machinery as appropriate to their duties. 2 3 4

Any risk of pollution is minimised whilst refuelling.

Pumping of bilges

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

Maintenance of the vessel, its plant and machinery Enclosed spaces

There is a regular system of maintenance to ensure the vessel, and all plant and machinery is in safe working order. All crew understand the dangers of enclosed spaces onboard. They understand the precautions to be taken before entering an enclosed space.
(Add extra as required)

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Section 4 Discretionary for all vessels

Environment Description Months (Initial) 1 Disposal of garbage Garbage is routinely disposed of as required by law. 2 3 4

Disposal of waste oil

Waste oil is routinely disposed of as required by law.

Disposal of sewage

Sewage is routinely disposed of as required by law.

Noise pollution

Noise from the vessel is minimised and managed as required by law.

Air pollution

Crew with responsibilities for operating machinery understand the importance of maintaining clean exhausts Damage to sensitive environments through anchoring or other operations is minimised.

Anchoring on or near sensitive environments

(Add extra as required)

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Section 5 Discretionary for all vessels

Administration Description Months (Initial) 1 Records Records are kept of the identity of each crewmember as required by the authority. Passengers onboard can be accounted for. A log in an appropriate form is maintained along with other required records 2 3 4

Record keeping

Incident reporting

Incidents are reported as required by the Authority.

Identification of hazards

All spaces on the vessel and the upper deck are routinely checked for slip and trip hazards and hazards to people. Each crewmember understands their duties and is trained to competently perform their duties. Onboard Safety Training (Induction training) and drills have been carried out and are recorded. Records are kept of the routine operation of the vessel.

Crew training and responsibilities

Record keeping

(Add extra as required)

Office use only Checked at annual survey Checked at audit Checked at random audit By: By: By: Port: Port: Port: Date: Date: Date:

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