The SMS element by element: policy, people, operations and the DPA
1The lesson in plain words
The Code's sections build the SMS: policy, responsibilities, the DPA, the master, people, operations, emergencies, maintenance and documents.
Policy and responsibilities
The company writes a safety and environmental-protection policy and makes sure everyone ashore and on board knows and follows it. It defines and documents the responsibility, authority and relationships of everyone who manages, does or checks work that affects safety. It must give enough resources and shore support to make the system work.
The DPA
The designated person ashore (DPA) is a person, or people, ashore with direct access to the highest level of management. The DPA links the ship and the company. The DPA monitors the safety and pollution-prevention side of each ship and makes sure resources and shore support arrive. Anyone on board may contact the DPA directly, for example about a safety concern not resolved on board.
The master
The company defines the master's responsibility: putting the policy into practice, motivating the crew, giving orders and instructions in a clear, simple way, checking that requirements are followed, and periodically reviewing the SMS and reporting its weaknesses to the company. The SMS must state the master's overriding authority: to make decisions on safety and pollution prevention and to ask the company for help.
People and operations
The master must be qualified and fully familiar with the SMS. Each ship must be manned with qualified, certificated and medically fit seafarers. New and transferred staff get a familiarisation before duty, and drills and training needs are identified. The SMS holds plans, instructions and checklists for key shipboard operations, such as cargo work, bunkering and passage planning, with tasks given to qualified people.
Emergencies, maintenance, documents
The SMS identifies likely emergencies, sets procedures and a drill programme, and makes sure the company can respond at any time. Ships are maintained to the rules: inspections, reporting of defects with their causes, corrective action and records. Equipment whose sudden failure could cause a hazardous situation is identified as critical equipment and given extra measures, such as tests of standby systems. Documents are controlled: valid editions where they are used and obsolete ones removed.
2Key data
- DPA
- Ashore, with direct access to the highest level of management
- Master's authority
- Overriding authority on safety and pollution prevention
- Master's review
- Periodic review of the SMS, reported to the company
- Critical equipment
- Sudden failure could cause a hazardous situation: extra measures
- Familiarisation
- Before duty, for new and transferred personnel
3Key points
- 1
The DPA links ship and company and has direct access to top management.
- 2
The SMS must state the master's overriding authority on safety and pollution.
- 3
The master periodically reviews the SMS and reports weaknesses ashore.
- 4
Key shipboard operations have plans, instructions and checklists.
- 5
Critical equipment gets specific measures, such as regular tests of standby units.
4Frequent mistakes
Wrong: The DPA is the ship's safety officer on board.
Right: The DPA is ashore, with direct access to the highest level of management, and links every ship to the company.
Wrong: The master may not depart from an SMS procedure under any circumstances.
Right: The master has overriding authority to take the decisions he or she judges necessary for safety and pollution prevention, and should report the reason.
Wrong: Critical equipment means everything listed in the maintenance system.
Right: It is equipment whose sudden failure could create a hazardous situation, such as the steering gear or the emergency generator.
5Practice case & exam keys
The superintendent tells you by phone to start loading before the ballast is fully discharged, to meet the charterer's loading deadline. The chief mate warns that the stress limits would then be exceeded. The master's first reply is to argue with the office. What does the SMS allow?
Show the answer
The master has overriding authority on safety and pollution prevention, and this decision is a safety matter. The master refuses the unsafe instruction, records the reason and informs the company in writing. If the office still presses, anyone on board may contact the DPA, who has direct access to top management. Load only when the ballast and stress plan allow it.
Exam keys
- DPA: ashore, direct access to top management, monitors safety and pollution prevention.
- Master: implements the policy, gives clear orders, reviews the SMS; overriding authority.
- Key shipboard operations, emergency preparedness and critical equipment are separate SMS elements.
- Document control: valid editions where used, obsolete ones removed.
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