Safety Management System (SMS) Guidelines: What Is An SMS?

Safety Management System (SMS) Guidelines
What is an SMS?
An SMS is a tool used to help keep people, vessels and the environment
safe . It encourages the development of a safety culture where safety
becomes second nature.
A safety culture involves everyone from deckhand to a vessels owner.
Everyone is responsible.
An SMS includes a set of documents about how a vessel is operated
safely and how risks are controlled. It provides information about:
how a company and vessel(s) operate on a day to day basis;

what happens if there is an emergency on a vessel, for example, a
fire or a person overboard;
a vessel , what she does and where she operates;
the Designated Person (DP) including their contact details;
how things are done on a vessel, who does what, how they do it
and when;
how hazards are identified and assessed and how risks are
managed;
how records on what happens on a vessel are kept;
how crew are trained and drills conducted.
Safety Makes Sense!

Do I need an SMS?
All commercial vessels in NSW must have an SMS.
The National Standard for Commercial Vessels (NSCV) Part E requires
all operators of commercial vessels of Classes 1, 2 and 3 to have and
implement an SMS. NSCV Part F2 requires Class 4 vessels to have and
implement a Safety Management Plan.
Safety Management System (SMS) Guidelines (Plain English)
Why do I need an SMS?

You need an SMS because:
it can help to keep your operation safe;

it can reduce the risk of accidents in your operation;
it could save you money;
its a survey requirement; and
its the law and covered by, but not limited to:
o
o
o
o
o
o
o
The Passenger Transport Act 1990 (Clause 53D);

The Occupational Health and Safety Act 2000;
The National Standard for Commercial Vessels;
The Occupational Health and Safety Act;
The Protection of the Environment Operations Act; and
The Water Traffic Regulations.
Marine Safety (Commercial Vessels) Regulation 2010
Who is responsible for writing an SMS?
The owner of the vessel;

and/or the Designated Person;
and/or a person appointed by the owner.
The best people to help with writing an SMS are the Master and the crew.
They work on the vessel regularly and know her best.
How do I start?
Dont panic developing an SMS is easier than you think.

Remember the SMS is for your company and your vessel.
Speak with everyone who works on the vessel and get their input.
Your SMS should be about your vessel.
Show everyone that youre serious about safety not just obeying
the law.
Be your own consultant you know your company and your
vessel best.
Perhaps attend an SMS information session (contact RMS for
details)
SMS Team Contact details:

Phone: +612 9563 8639
Email: [email protected]
Postal:
Locked Bag 5100,

Camperdown, Sydney, NSW,
Australia 1450
Look at the SMS page on the RMS website.
How will I know that my SMS is OK?
Everyone in the company has helped to develop it.

Everyone is encouraged to maintain a safety culture.
The SMS is tailored to the vessel and is not just a copy;
The SMS contains the required 12 sections;
Management and the crew of the vessel understand and follow the
procedures in the SMS;
The SMS procedures explain what happens on the vessel on a
day to day basis, who is responsible and how it is done.
The Emergency Procedures explain what to do in different
situations, for example, Person Overboard, Fire and Collision;
Records are kept about what happens on the vessel, for example,
training, maintenance and drills;
The SMS and record keeping are accurate and up to date; and
Management and crew follow SMS procedures during drills with
RMS.
The 12 sections of an SMS are:

1. General.
2. Safety and Environment Policy.
3. Company Responsibilities and Authorities.
4. Designated Person DP.
5. Masters Responsibility and Authority.
6. Resources and Personnel.
7. Operational Procedures.
8. Emergency Procedures.
9. Reporting Accidents / Incidents.
10. Maintenance and Recording.
11. Documentation.
12. Review and Evaluation.

Phone: +612 9563 8639
Postal:
Locked Bag 5100,

Australia 1450
1. General
This section gives the details of your company. These could include:
the name of your company;

the address and contact details of your company;
names and contact details of senior management;
name and contact details of the designated person (DP);
what your company does, for example, charters, fishing
trips, dive trips;
where it operates, for example, Sydney Harbour, Port
Stephens; and
the number and type of vessels operated, for example, two
ex-navy minesweepers; catamaran charter vessel; or high
speed adventure vessel.
2. Safety and Environment Policy

This section gives details of what you do to make sure your
operation is safe and that you know what legislation is relevant to
you.
3. Company Responsibilities and Authorities

This section shows how your company is organised. It explains who
does what in your company. (A simple diagram showing who is
responsible to who can be very useful.)
4. Designated Person (DP)

The Designated Person (DP) looks after the safe operation of your
vessel(s) and is responsible for the SMS. The DP is a link between your
company and the people working on your vessel(s).
In some cases, particularly in larger companies, the DP is shore based
and is in direct contact with management. In other cases, for example,
one person operations, the DP might be the owner operator.
It is very important that the DP understands what their responsibilities
are.

Phone: +612 9563 8639
Postal:
Locked Bag 5100,

Australia 1450
5. Masters Responsibility and Authority

This section says that the Master of your vessel is responsible for
understanding the SMS and making sure it is used on the vessel.
It says the Master is responsible for communicating effectively with
crew and passengers.
It says s/he has complete authority to do what s/he thinks is necessary
to keep the vessel, passengers and crew safe.
6. Resources and Personnel

This section is about the people who work for the company. It provides
information on:
what qualifications they need;

how they are trained and who trains them;
where training records are kept; and
how long the records should be kept (minimum 5 years).
7. Operational Procedures
This section is about the normal operations of your company and
vessel(s). It details what a new crew would need to know about your
vessel before they could take her out. It provides information on:
the systems on the vessel;

start-up / shut down procedures;
not only what to do also how to do it, for example,
embark/disembark passengers;
who is responsible for doing particular jobs;
how to maintain a safety culture; and
how and where records are kept (for a minimum of 5 years).
You must have procedures for the following as a minimum:
Crew briefings and initial safety training.

Passenger briefings.
Other safety training.
Refuelling.
Disposal of sewage, garbage, waste oil and grey water.
Recording crew lists.

Phone: +612 9563 8639
Postal:
Locked Bag 5100,

Australia 1450
Recording passenger numbers / manifests.
There is no maximum number of procedures. Each vessel is different

and may have different equipment and different ways of doing things
that need a procedure.
An effective way to develop Procedures is with the whole crew the
people who do the jobs - having input. You need to think about who is
responsible for different tasks on your vessel and how things are done.
A meeting with the crew to discuss how things are done will provide
valuable information you can use in developing your SMS.
A crew meeting also helps crew members develop a better
understanding of the responsibilities of others.
Flip charts can be a useful way of summarising procedures as well as
being an effective training tool. (Flip chart templates are available on the
RMS web site)
8. Emergency Procedures
This section is about what you would do if there was an emergency on
your vessel. It provides information on:
who is responsible for doing particular things in an

emergency;
how you practise for dealing with emergencies by doing drills;
how you check emergency equipment
how and where you record drills; and
how often you do drills .
You must have procedures for the following as a minimum:
Fire / Fire in the Engine Room

Prepare to Abandon Ship / Abandon Ship
Person Overboard / Search and Rescue
Collision / Flooding
Environmental Protection / Spill
Serious Injury

Phone: +612 9563 8639
Postal:
Locked Bag 5100,

Australia 1450
Serious Security Incident / Terrorism (Vessel Security Plan)

Bomb Threat / Suspicious Articles (Vessel Security Plan)
An effective way to develop Emergency and Security Procedures is with

the whole crew the people who react in an emergency - having input.
This encourages the maintenance of a safety culture.
You need to think about what you would do on your vessel in the event
of an emergency and who would be responsible for different tasks.
A meeting with the crew to discuss how things could be done will
provide valuable information you can use in developing your SMS.
Regular drills help to identify areas that may need improvement. (There
is a useful document looking at drills on the SMS page on the web site.)
A crew meeting also helps crew members develop a better
understanding of the responsibilities of others and to take ownership of
the SMS.
Flip charts can be a useful way of summarising emergency procedures
as well as being an effective training tool. (Flip chart templates are
available on the Roads and Maritime web site)
9. Reporting Incidents and Accidents / Hazard

Identification / Risk Management
This section is about how you try and prevent things going wrong and
what you do if they do go wrong. It provides information on:
How you identify things that could be a problem (hazards), eg

water
How you identify things that could happen because of this
(risks), eg falling in and drowning
What you do to reduce the risks (controls), eg handrails
How you report something on the vessel that needs repairing,
eg on a work request form, in the log
Who is responsible for fixing it
How people are told that its been fixed
What you do if someone gets hurt on your vessel
What you do if your vessel is involved in an accident or an
incident

Phone: +612 9563 8639
Postal:
Locked Bag 5100,

Australia 1450
Remember, because no system is perfect, things will go wrong. Better to

be prepared.
Confused about what Risk Management is?

Risk Management is:
Identifying hazards noticing something that could be dangerous.

For example, a loose handrail; an unmarked step; gear not stowed
correctly.
Identifying a way of doing something that could be dangerous.
For example, working too close to a bollard; embarking
passengers with no safety procedure; not giving a passenger
briefing.
Assessing the risk thinking about what could happen and how
serious a hazard is. For example, what could happen if a person
leans on the loose handrail? Fall overboard and drown? Loss of
professional reputation? Court case? Damages? What could
happen if a deckhand works too close to a bollard? Trapped
fingers / serious injury / loss of livelihood? Damages?
Controlling removing a hazard or putting something in place to

reduce risk. For example, repairing the handrail; replacing the
handrail with a stronger material;or making a no go area for
passengers. Train the deckhand not to work too close to the
bollard? Improve communication between the master and
deckhand? Move the bollard?
Monitoring checking to see if what youve done is working and if

it isnt, having another look at the problem.
There is a simple sample risk register on the RMS website. For more
detailed information on Risk Management, visit
www.workcover.nsw.gov.au and download a copy of HAZPAK A
Practical Guide to Basic Risk Management.
Still not sure? Contact the RMS SMS Team.

Phone: +612 9563 8639
Postal:
Locked Bag 5100,

Australia 1450
Safety Makes Sense!

10. Maintenance and Recording
This section is about how you look after your vessel and equipment. It
provides information on:
when and how you check and test emergency equipment;

how you make sure the equipment you use meets
Occupational Health and Safety legislation requirements;
what you do on a regular basis on your vessel, for example,
daily engine checks;
how you follow a maintenance schedule and manufacturers
instructions;
how and where you record maintenance that has been carried
out, for example, an engine room log; and
how you might train crew in the use of some equipment, eg fire
pump.
11. Documentation
This section is about how you look after the documents that relate to
your operation. It provides information on:
how you make sure documents are in the right place;

how you make changes to documents and record them;
how people are told changes have been made; and
how you get rid of out of date documents and record that
youve done it.
12. Review and Evaluation

This section is about how you give your SMS a health check or review.
It provides information on:
Phone: +612 9563 8639
Postal:
Locked Bag 5100,

Australia 1450
how often you will review your SMS;

how you will make any changes and keep a record (minimum 5
years); and
how you will tell people changes have been made.
An effective way of doing a review is with all the people who use the
SMS on a regular basis. They will be able to tell you if its working or if it
needs to be changed in some way.
Remember that this document is only part of an SMS. It is a tool to be
used by everyone to help maintain a safety culture.
Safety Makes Sense!

Roads and Maritime Services
If you have any questions about SMS please contact:
Phone:
+612 9563 8639 / 8792
Email:
[email protected]
Postal:
Locked Bag 5100,

Camperdown,
Sydney, NSW,
Australia 1450

Phone: +612 9563 8639
Postal:
Locked Bag 5100,

Australia 1450

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Safety Management System (SMS) Guidelines

how a company and vessel(s) operate on a day to day basis;

Safety Makes Sense!

Safety Management System (SMS) Guidelines (Plain English)

Why do I need an SMS?

it can help to keep your operation safe;

The Passenger Transport Act 1990 (Clause 53D);

Who is responsible for writing an SMS?

The owner of the vessel;

Dont panic developing an SMS is easier than you think.

SMS Team Contact details:

Locked Bag 5100,

Safety Management System (SMS) Guidelines (Plain English)

Look at the SMS page on the RMS website.

How will I know that my SMS is OK?

Everyone in the company has helped to develop it.

The 12 sections of an SMS are:

SMS Team Contact details:

Locked Bag 5100,

Safety Management System (SMS) Guidelines (Plain English)

the name of your company;

2. Safety and Environment Policy

3. Company Responsibilities and Authorities

4. Designated Person (DP)

SMS Team Contact details:

Locked Bag 5100,

Safety Management System (SMS) Guidelines (Plain English)

5. Masters Responsibility and Authority

6. Resources and Personnel

what qualifications they need;

the systems on the vessel;

You must have procedures for the following as a minimum:

Crew briefings and initial safety training.

SMS Team Contact details:

Locked Bag 5100,

Safety Management System (SMS) Guidelines (Plain English)

Recording passenger numbers / manifests.

There is no maximum number of procedures. Each vessel is different

who is responsible for doing particular things in an

You must have procedures for the following as a minimum:

Fire / Fire in the Engine Room

SMS Team Contact details:

Locked Bag 5100,

Safety Management System (SMS) Guidelines (Plain English)

Serious Security Incident / Terrorism (Vessel Security Plan)

An effective way to develop Emergency and Security Procedures is with

9. Reporting Incidents and Accidents / Hazard

How you identify things that could be a problem (hazards), eg

SMS Team Contact details:

Locked Bag 5100,

Safety Management System (SMS) Guidelines (Plain English)

Remember, because no system is perfect, things will go wrong. Better to

Confused about what Risk Management is?

Identifying hazards noticing something that could be dangerous.

Controlling removing a hazard or putting something in place to

Monitoring checking to see if what youve done is working and if

SMS Team Contact details:

Locked Bag 5100,