Today, Knowledge Management today are not limited merely to : (A) 'knowing' or 'reading lots of books/scholarly articles' or (B) data mining, analysis, decision making, preventive actions, or (C) some Human Resources Management issue or (D) some ICT issue. Knowledge Management is about putting your knowledge, skills and competency into practice and most important IT WORKS! For you and your company or your business (Nik Zafri)

The information comprised in this section is not, nor is it held out to be, a solicitation of any person to take any form of investment decision. The content of the nikzafri.blogspot.com does not constitute advice or a recommendation by nikzafri.blogspot.com and should not be relied upon in making (or refraining from making) any decision relating to investments or any other matter. You should consult your own independent financial adviser and obtain professional advice before exercising any investment decisions or choices based on information featured in this nikzafri.blogspot.com can not be held liable or responsible in any way for any opinions, suggestions, recommendations or comments made by any of the contributors to the various columns on nikzafri.blogspot.com nor do opinions of contributors necessarily reflect those of http://www. nikzafri.blogspot.com

In no event shall nikzafri.blogspot.com be liable for any damages whatsoever, including, without limitation, direct, special, indirect, consequential, or incidental damages, or damages for lost profits, loss of revenue, or loss of use, arising out of or related to the nikzafri.blogspot.com or the information contained in it, whether such damages arise in contract, negligence, tort, under statute, in equity, at law or otherwise.



Email: nikzafri@yahoo.com, nikzafri@gmail.com

Kelantanese, Alumni of Sultan Ismail College Kelantan (SICA), Diploma (Management), IT Competency Cert, Certified Written English Professional US. Has participated in many seminars/conferences (local/ international) in the capacity of trainer/lecturer and participant.

Affiliations :- Council Member of Gerson Lehrman Group NY, Institute of Quality Malaysia, Malaysian Institute of Management, Malaysian Occupational Safety and Health Professionals Association, Auditor ISO 9000 IRCAUK, Auditor OHSAS 18000 (SIRIM and STS) /EMS ISO 14000:2004 and Construction Quality Assessment System (CONQUAS, CIDB (Now BCA) Singapore),

* Possesses 26 years of experience/hands-on in the multi-modern management & technical disciplines (systems & methodologies) such as Knowledge Management (Hi-Impact Management/ICT Solutions), Quality (TQM/ISO), Safety Health Environment, Civil & Building (Construction), Manufacturing, Motivation & Team Building, HR, Marketing/Branding, Business Process Reengineering, Economy/Stock Market, Contracts/Project Management, Finance & Banking, etc. He was employed to international bluechips involving in national/international megaprojects such as Balfour Beatty Construction/Knight Piesold & Partners UK, MMI Insurance Group Australia, Hazama Corporation (Hazamagumi) Japan (with Mitsubishi Corporation, JA Jones US, MMCE and Ho-Hup) and Sunway Construction Berhad (The Sunway Group of Companies). Among major projects undertaken : Pergau Hydro Electric Project, KLCC Petronas Twin Towers, LRT Tunnelling, KLIA, Petronas Refineries Melaka, Putrajaya Government Complex, Sistem Lingkaran Lebuhraya Kajang (SILK), Mex Highway, KLIA1, KLIA2 etc. Once serviced SMPD Management Consultants as Associate Consultant cum Lecturer for Diploma in Management, Institute of Supervisory Management UK/SMPD JV. Currently – Associate/Visiting Consultants/Facilitators, Advisors for leading consulting firms (local and international) including project management. To name a few – Noma SWO Consult, Amiosh Resources, Timur West Consultant Sdn. Bhd., TIJ Consultants Group (Malaysia and Singapore) and many others.

* Ex-Resident Weekly Columnist of Utusan Malaysia (1995-1998) and have produced more than 100 articles related to ISO-9000– Management System and Documentation Models, TQM Strategic Management, Occupational Safety and Health (now OHSAS 18000) and Environmental Management Systems ISO 14000. His write-ups/experience has assisted many students/researchers alike in module developments based on competency or academics and completion of many theses. Once commended by the then Chief Secretary to the Government of Malaysia for his diligence in promoting and training the civil services (government sector) based on “Total Quality Management and Quality Management System ISO-9000 in Malaysian Civil Service – Paradigm Shift Scalar for Assessment System”

Among Nik Zafri’s clients : Adabi Consumer Industries Sdn. Bhd, (MRP II, Accounts/Credit Control) The HQ of Royal Customs and Excise Malaysia (ISO 9000), Veterinary Services Dept. Negeri Sembilan (ISO 9000), The Institution of Engineers Malaysia (Aspects of Project Management – KLCC construction), Corporate HQ of RHB (Peter Drucker's MBO/KRA), NEC Semiconductor - Klang Selangor (Productivity Management), Prime Minister’s Department Malaysia (ISO 9000), State Secretarial Office Negeri Sembilan (ISO 9000), Hidrological Department KL (ISO 9000), Asahi Kluang Johor(System Audit, Management/Supervisory Development), Tunku Mahmood (2) Primary School Kluang Johor (ISO 9000), Consortium PANZANA (HSSE 3rd Party Audit), Lecturer for Information Technology Training Centre (ITTC) – Authorised Training Center (ATC) – University of Technology Malaysia (UTM) Kluang Branch Johor, Kluang General Hospital Johor (Management/Supervision Development, Office Technology/Administration, ISO 9000 & Construction Management), Kahang Timur Secondary School Johor (ISO 9000), Sultan Abdul Jalil Secondary School Kluang Johor (Islamic Motivation and Team Building), Guocera Tiles Industries Kluang Johor (EMS ISO 14000), MNE Construction (M) Sdn. Bhd. Kota Tinggi Johor (ISO 9000 – Construction), UITM Shah Alam Selangor (Knowledge Management/Knowledge Based Economy /TQM), Telesystem Electronics/Digico Cable(ODM/OEM for Astro – ISO 9000), Sungai Long Industries Sdn. Bhd. (Bina Puri Group) - ISO 9000 Construction), Secura Security Printing Sdn. Bhd,(ISO 9000 – Security Printing) ROTOL AMS Bumi Sdn. Bhd & ROTOL Architectural Services Sdn. Bhd. (ROTOL Group) – ISO 9000 –Architecture, Bond M & E (KL) Sdn. Bhd. (ISO 9000 – Construction/M & E), Skyline Telco (M) Sdn. Bhd. (Knowledge Management),Technochase Sdn. Bhd JB (ISO 9000 – Construction), Institut Kefahaman Islam Malaysia (IKIM – ISO 9000 & Internal Audit Refresher), Shinryo/Steamline Consortium (Petronas/OGP Power Co-Generation Plant Melaka – Construction Management and Safety, Health, Environment), Hospital Universiti Kebangsaan Malaysia (Negotiation Skills), Association for Retired Intelligence Operatives of Malaysia (Cyber Security – Arpa/NSFUsenet, Cobit, Till, ISO/IEC ISMS 27000 for Law/Enforcement/Military), T.Yamaichi Corp. (M) Sdn. Bhd. (EMS ISO 14000) LSB Manufacturing Solutions Sdn. Bhd., (Lean Scoreboard (including a full development of System-Software-Application - MSC Malaysia & Six Sigma) PJZ Marine Services Sdn. Bhd., (Safety Management Systems and Internal Audit based on International Marine Organization Standards) UNITAR/UNTEC (Degree in Accountacy – Career Path/Roadmap) Cobrain Holdings Sdn. Bhd.(Managing Construction Safety & Health), Speaker for International Finance & Management Strategy (Closed Conference), Pembinaan Jaya Zira Sdn. Bhd. (ISO 9001:2008-Internal Audit for Construction Industry & Overview of version 2015), Straits Consulting Engineers Sdn. Bhd. (Full Integrated Management System – ISO 9000, OHSAS 1800 and EMS ISO 14000 for Civl/Structural/Geotechnical Consulting), Malaysia Management & Science University (MSU – (Managing Business in an Organization), Innoseven Sdn. Bhd. (KVMRT Line 1 MSPR8 – Awareness and Internal Audit (Construction), ISO 9001:2008 and 2015 overview for the Construction Industry), Kemakmuran Sdn. Bhd. (KVMRT Line 1 - Signages/Wayfinding - Project Quality Plan and Construction Method Statement ), Amiosh Resources - (1) Lembaga Tabung Haji - Flood ERP (2) WNA Consultants - DID/JPS -Flood Risk Assessment and Management Plan - Prelim, Conceptual Design, Interim and Final Report etc. (3) Tunnel Fire Safety - Fire Risk Assessment Report - Design Fire Scenario), Safety, Health and Environmental Management Plans leading construction/property companies/corporations in Malaysia. Timur West Consulting (1) Business Methodology and System (2) Information Security Management Systems (ISMS) ISO/IEC 27001:2013 for Majlis Bandaraya Petaling Jaya ISMS/Audit/Risk/ITP Technical Team

* Has appeared for 10 consecutive series in “Good Morning Malaysia RTM TV1’ Corporate Talk Segment discussing on ISO 9000/14000 in various industries. For ICT, his inputs garnered from his expertise have successfully led to development of work-process e-enabling systems in the environments of intranet, portal and interactive web design especially for the construction and manufacturing. Some of the end products have won various competitions of innovativeness, quality, continual-improvements and construction industry award at national level. He has also in advisory capacity – involved in development and moderation of websites, portals and e-profiles for mainly corporate and private sectors, public figures etc. He is also one of the recipients for MOSTE Innovation for RFID use in Electronic Toll Collection in Malaysia.

Note :



Tuesday, April 22, 2014


(This article is part of the workshop conducted at PJZ Marine Services Sdn. Bhd., Malaysia - My full appreciation to International Marine Organization, International Marine Contractors Association, Standards of Training Certification & Watchkeeping, Master (1st) Class Mariners/DPA, Marine Department of Malaysia, Royal Navy of Malaysia, Shell Malaysia and so many more)


OSHA 1994 :

First Schedule,

Section 2, Sub-Section 3 : Mining: The process or business of obtaining or extracting any mineral from above or below the ground or in or below the sea. • Coal mining • Crude petroleum and natural gas production • Metal mining (Applicable to Client)

Section 10 (3) :

This Act also applies to offshore installations as included in premises defined in Section 3 (1). The Petroleum Mining Act 1966 interprets off-shore land to mean the area of the continental shelf. Under section 21 (2) of the Exclusive Economic Zone Act 1984 the government has exclusive jurisdiction over artificial islands, installations and structures in the zone and on the continental shelf, including jurisdiction with regard to customs, fiscal, health, safety and immigration law. (applicable if you’re involved in supporting offshore installations)


Nothing in this Act shall apply to work on board ships governed by the Merchant Shipping
Ordinance 1952 (Ord. 70/52), the Merchant Shipping Ordinance 1960 of Sabah (Sabah Ord. 11/60) or Sarawak (Sarawak Ord. 2/60) or the armed forces.

This Act is not applicable to persons working on board ships except on board of ship exempted by the Merchant Shipping Ordinance 1952 (Ord. 70/52), the Merchant Shipping Ordinance 1960 of Sabah (Sabah Ord. 11/60) or Sarawak (Sarawak Ord. 2/60).

Ships include every description of vessels used in navigation not propelled by oars. Ship repair dockyard and public dry docks not covered under this Act except when the owner or ship master engaged a contractor to do the maintenance or repair work. (applicable if you’re a contractor doing maintenance or repair work)

Harbour of commerce or port is covered under this Act but not the ship anchor at the harbour or port . Under Merchant Shipping Ordinance 1952 the Minister of Transport may make port rules to ensure the safety of employees employed in ports and on ships using ports.

Section 28 : Safety Officer

Under this order it is compulsory to employ a safety and health officer for an employer of any building operation or work of engineering construction where the total contract price of the project exceeds twenty million ringgit, any ship building, gas processing activity or petrochemical industry and any chemical and allied industry employing more than a hundred employees. (Applicable to ship builders and NOT you)



To assist in understanding and implementing a formal management system of Offshore Marine Support Vessel benchmarked to : 

  • The International Safety Management Code (ISM) – an International Management Code for the Safe Operation of Ships and for Pollution Prevention, 
  • Others as necessary such as : IMCAM 149 Issue 7 – March 2009, Standards of Certification, Training & Watchkeeping (STCW) OHS Act 1994, OHSAS 18001:2007 and applicable safety standards and codes of practice. Where necessary the QMS ISO 9001:2008 (ISO 19011) and EMS ISO 14001:2004 requirements shall also be applied.
  • The system shall be customized to the scope and services by the client as far as if practicable.



Scope : Provision of Marine Services

(Which consist of

a) integrated services solution for operations and main fixed and floating offshore,
b) fast crew boat vessel)

generallly - scope to include contractors, sub-contractors, vendors, suppliers etc.

With this scope, you must identify :

  • Hazards and risks associated with this scope via Assessment, Inspections, Audits are required to identify the risks
    • typical – fire & explosion, emergency response, maintenance, modification, waste management, marine life etc. (see contigency plan and emergency scenarios)
    • if involved in supporting or involved directly in design and construction – rigs = jackups, semi-submersibles, dynamic positioning , ballast system, mooring, derrick etc. including Failure Mode and Effect Analysis.

With this scope, you must have :

  • Adequate RELEVANT documentation associated with this scope for audit benchmark
    • Documentation – Standards/Codes, OHSE Protection Policy, Objectives, Plan, Manual, Procedures (OHSE related – reporting accidents & NC, emergency situations, internal audit & reviews etc), Instructions, Handbook/Guides, etc.
    • Records – Minutes of Meeting (including TBM), Statistics, Reports, Minutes of Meeting, JSA or JHA, Human Resources/Safety/Environment Depts -Training Records, Competency Certs, Licences, Job Description – Responsibility & Authority,
ISM Clause 1.2 & 1.4

Objectives : to ensure safety at sea, prevention of human injury or loss of life, and avoidance of damage to the environment, in particular, to the marine environment, and to property

Among others (interalia): 
  • provide for safe practices in ship operation and a safe working environment; 
  • establish appropriate safeguards against all identified risks; and 
  • continuously improve safety management skills of personnel ashore and aboard ships, including preparing for emergencies related both to safety and environmental protection.

Also to ensure: 
  • compliance with mandatory rules and regulations; and
  • that applicable codes, guidelines and standards recommended by the Organization, Administrations, classification societies and maritime industry organizations are taken into account. 

Must develop, implement and maintain Safety Management System (SMS) :

  1. OHSE protection policy, instruction, procedures (for ship safe operation & protecting environment)
  2. Authority and communication defined – shore & shipboard
  3. Procedures – accident reporting, nc, emergency preparedness, internal audit and MRM


The company Safety Management System (SMS) : provide for methods of identification of risks and establishment of safeguards against the same. During audit : Evidence to be shown – risk assessment procedures. Verified during audits of the company for DOC issuance.

Random sampling may be needed – verified for effectiveness. Any inadequacies require closer look. Tips for sampling – incidents/accidents on board of vessels.


1.2 POLICY (ISM Code Clause 2)

What to cover : (at both ship level and shore (HQ as well)

Most important : All applicable relevant aspects of Safety, Health, Environment including security where necessary.

What are the aspects :
  1. Consistent with the scope of OHSE Management System
  2. Appropriate to the nature, scale and risks in its services
(related only to integrated services solution for operations and main fixed and floating offshore, fast crew boat vessel)
  1. Commitment for :
    1. Continual Improvement – (get revised when new updates received, e.g. CI upon closing NCR, discussion in annual review meeting, inspections, audits etc.)
    2. Prevention (injury related & ill health)
    3. Comply to relevant legislation and regulations in handling OHSE hazards.
  1. Provide framework for setting/reviewing objectives
  1. documented, implemented, maintained and communicated
  1. readily available for assessment
  1. periodical review
  1. training and resource management
Signed and approved by top management (MUST) and overseen by relevant authorized & competent person.

ISM says :

ESTABLISH - safety and environmental protection policy which describes how the objectives will be achieve

ENSURE - the policy is implemented and maintained at all levels of the organization both ship based as well as shore based



The policy statement(s) should be clear and concise, with emphasis on the Company’s commitment to OHSE. Identify a strategy by which the Company aims to achieve objectives with methods to encourage improvement in safety awareness and safety management skills. The policy should be endorsed by the Senior Management of the company

The strategy for implementation of the policy should be clear so that it can be understood at all levels within the Company.

During audit (both shore and ship) Members of the Company’s management team* should be interviewed during an assessment. This is an effective means of establishing whether there is commitment to the Safety Management System at the highest levels within the Company

Managing Director
Operations Manager
Chief Engineer
Technical Managers
Safety Officer
Designated Person
Chief Officer/Mate
Quality Manager
Training Officer
Safety Manager
Engineer / Deck Officers
Personnel/Training Manager
Bosun / CPO
Sample of Deck / Engine / Catering Ratings
Other Office Staff
Cook & Galley Staff

Junior personnel should be interviewed on a random basis concerning their responsibilities within the SMS. They must have the background and experience appropriate to their role, received suitable training, and possesses adequate knowledge of the SMS. Training procedures required.


ISM : If the entity that is responsible for the operation of the ship is other than the owner, the owner must report the full name and details of such entity to the Administration.
The operator to ensure that the owner fulfils the requirement of this section of the Code. Details reported to the interested parties (port authorities, client, top management etc) . The identification of the Manager on the relevant form issued by the interested parties serves as evidence of compliance with this requirement. (Sub-Contractor, specialists, consultants etc)
ISM : define and document the responsibility, authority and interrelation of all personnel who manage, perform and verify work relating to and affecting safety and pollution prevention.
To document R & A so that personnel involved in the SMS know what is expected of them and to ensure that the OHSE functions have been allocated. Documented management system should contain clearly worded, descriptions of the R & A (JD & Master Responsibility Matrix/Process Owner spelled out in procedures) together with the reporting lines of personnel within the management structure (organization chart). Schematics or flowcharts to document lines of authority and inter-relations between roles would be acceptable.
ISM : The Company is responsible for ensuring that adequate resources and shore-based support are provided to enable the Designated Person or persons to carry out their functions.


Company to be committed providing the support necessary for the Designated Person to fulfil his / her duties. This may include reviewing correspondence between the Designated Person and the management board, the budget for safety training (including the necessary infra) and the attitude towards safety issues at management level. Commitment must start at the top and be prevalent throughout the Company.




  • Manage the operation of the vessel systems at department level through supervisors and subordinate staff.
  • Exercise appropriate authority with regard to career development, providing training and support in terms of competence assurance system.
  • Ensure probationary and annual appraisals are completed fairly and consistently in timely manner.
  • Manage welfare and disciplinary issues at departmental level with appropriate reference to Captain and HR.

  • Efficient operation of unit systems having due regard for Health and safety.
  • Ensure full compliance with PTW system, and Risk assessment and verification.
  • Ensure full compliance with Class, Flag and Port State requirements, preserving the vessel's operational status. 
  • Effective supervision of project, sub contract and vendor personnel. 
  • Efficiency improvement and pursuance of company goals. 
  • Responsible for condition monitoring, maintenance and repair of vessel and process systems. 
  • Manage parts control, inventories storage record keeping, shipping and receiving by use of maintenance plan or maintenance software application. 

3) Contract
  • Manage operations in conjunction with all department heads to maximize efficiency and uptime. 
  • Maintain effective cost control and promote cost awareness in others. 
  • Maintain awareness of key issues relating to client and sub contractor relationships. 

Note :

(Competent Personnel – Master Mariner, Engineer Class 1 with experience associated associated with offshore production floating facilities in a supervisory/management capacity, knowledge of Marine, Production & Engineering and Maintenance Management. Able to manage all aspects of the marine operation) good communication (written & oral) Skills OHSE and management skills, understanding human behaviours, leadership, counselling & coaching)

1.3 DESIGNATED PERSON(s) (ISM Code Clause 4)

ISM : ensure safe operation of ship (vessel) - provide a link between the Company and shipboard, designate a person or persons ashore having direct access to the highest level of management. (SMS MR) The responsibility & authority of MR to include monitoring the safety and pollution- prevention aspects of the operation of vessel and ensuring adequate resources and shore-based support are applied.

In order for any system of management to be adequately maintained it is essential that it is monitored at regular intervals. This will ensure that:
implementation is verified;
deficiencies are reported; and
those responsible for corrective action are identified and that appropriate action is taken.

The task of implementing & maintaining SMS is a management responsibility with Designated Person holds a key role in the monitoring process. He/She should be suitably qualified; experienced in ship operations and be fully conversant with the Company’s OSHE protection policies and SMS. Working independently and having authority to report to the highest level of management Also in charge of coordinating the Company’s safety audits.

How so?

minimum of formal education as follows:

qualifications from a tertiary institution recognized by the Administration or by the recognized organization, within a relevant field of management, engineering or physical science, or qualifications and seagoing experience as a certified ship officer pursuant to the International Convention on Standards of Training, Certification and Watchkeeping for Seafarers (STCW), 1978, or other formal education combined with not less than three years practical senior level experience in ship management operations.

should have undergone training relating to safety management elements in compliance with the requirements of the ISM Code, particularly with regard to:

knowledge and understanding of the ISM Code, mandatory rules and regulations, applicable codes, guidelines and standards as appropriate, assessment techniques of examining, questioning, evaluating and reporting, technical or operational aspects of safety management, appropriate knowledge of shipping and shipboard operations, participation in at least one marine-related management system audit; and effective communications with shipboard staff and senior management.
should have experience to:
  • present ISM matters to the highest level of management and gain sustained
  • support for safety management system improvements;
  • determine whether the safety management system elements meet the requirements of the ISM Code;
  • determine the effectiveness of the safety management system within the Company
  • and the ship by using established principles of internal audit and management
  • review to ensure compliance with rules and regulations;
  • assess the effectiveness of the safety management system in ensuring compliance
  • with other rules and regulations which are not covered by statutory and
  • classification surveys and enabling verification of compliance with these rules and regulations;
  • assess whether the safe practices recommended by the Organization,
  • Administrations, classification societies, other international bodies and maritime
  • industry organizations to promote a safety culture had been taken into account; and
  • gather and analyse data from hazardous occurrences, hazardous situations, near misses, incidents and accidents and apply the lessons learnt to improve the safety management system within the Company and its ships.


ISM : clearly define and document the master's responsibility with regard to :

  • implementing the safety and environmental-protection policy of the Company;
  • motivating the crew in the observation of that policy;
  • issuing appropriate orders and instructions in a clear and simple manner;
  • verifying that specified requirements are observed; and
  • periodically reviewing the SMS and reporting its deficiencies to the shore-based management.


The responsibility for overseeing and implementing all relevant aspects of the Company’s SMS on their vessels rests with the Master. Clear guidance should be provided to Masters concerning their responsibility on matters affecting the safety of the ship, its passengers and/or cargo and the environment.

ISM : Ensure SMS operating on board contains a clear statement emphasizing the master's authority. Establish in the SMS that the master has the overriding authority and the responsibility to make decisions with respect to safety and pollution prevention and to request the Company's assistance as may be necessary.


Masters should get support & encouragement from the Company at all times. There must be a clear statement (documented) that the Master has overriding authority to deviate from the documented system in time of crisis & seek assistance from the Company if required. Both statements must be clear & unequivocal with the appropriate emphasis placed on the Master’s overriding authority.


The Master has full responsibility and command of the vessel and all its personnel. His/Her lawful orders must be strictly and promptly obeyed by all officers, crew, and any others onboard. The Master shall require a high degree of professional competence from his officers and seaman-like conduct from all onboard.

The Master is the Company representative, and their actions and decisions are generally binding upon the Company.

Job Duties & Responsibilities:

Master will supervise the preparation, execution, and documentation required and necessary to conduct ship’s business. Some of the duties and responsibilities of this position are:

  • Thorough familiarity with all applicable governmental regulations and Company policies and shall ensuring strict compliance by all parties onboard
    Implementation of safe practices and promotion of “safety-mindedness” in all hands onboard
  • Administration of health and welfare of the crew, their training, and employee relations
  • Ensuring good appearance & condition of the vessel
  • Overseeing & supervising safe navigation and cargo/ballast operations of the vessel
  • Efficient transportation of vessel's cargo
  • Ensuring that the vessel is adequately provided with sufficient spares, stores and bunkers.
  • Ensuring that the necessary training required by flag state, port state, class society, or Company is obtained by the crew
  • Taking prompt and necessary actions in the event and for the prevention of any environmental pollution or spill
    Safeguarding vessel’s documents and narcotics stores
    Implementation and management of Company’s ISM safety management system
  • Successful performance in vettings and customer inspections

The Master must also perform other duties and tasks as assigned.
Job Requirements:

This position requires minimum of International Merchant Mariners Master's License for motor vessels with radar endorsement or STCW or equivalent, Good communication skills, experience in various vessels, good bridge management, Ship Handling training,Experience with computerized planned maintenance system (NS5/Safenet) Ability to work in a culturally diverse environment and in close quarters with international crew


Master – properly qualified for command, conversant with SMS, is supported for the sake of safety.

Company to :

  • Ensure ship (vessel) is manned with qualified, certificated and medically fit seafarers in accordance with national and international requirements.
  • Establish procedures to ensure that new personnel & personnel transferred to new assignments related to safety and protection of the environment are given proper familiarization with their duties. Instructions which are essential to be provided prior to sailing should be identified, documented and given.
  • Ensure that all personnel involved in the SMS have an adequate understanding of relevant rules, regulations, codes and guidelines.
  • establish and maintain procedures for identifying any training which may be required in support of the SMS and ensure that such training is provided for all personnel concerned.
  • establish procedures by which the ship's personnel receive relevant information on the SMS in a working language or languages understood by them.
  • ensure that the ship's personnel are able to communicate effectively in the execution of their duties related to the SMS.


The Company has a clear responsibility to employ properly qualified and medically fit seafarers and to be satisfied that they are familiar with the management system operated by the Company. The company should be able to satisfy the auditors, by whatever means, that this requirement of the Code is being adequately addressed. Copies of certificates may be held on file in the office or it may be necessary to have a random sample of certificates faxed in from a cross section of the fleet.

STCW A-I/14 (Responsibilities of Companies) requires the Company to provide written instructions to the Master setting forth the policies and procedures to be followed to ensure newly joined seafarers are familiar with their duties before they are assigned to tasks on board. This shipboard familiarisation should include sufficient time to become acquainted with:

• emergency / evacuation procedures and arrangements to perform assigned duties properly.
• ship specific duties related to the role the seafarer will fulfil onboard
• ship specific knowledge of any safety and environmental protection procedures with which the seafarer should be acquainted

A knowledgeable crew member should be designated to ensure that essential information is provided to newly joined seafarers in a language they understand. The STCW Code requires mandatory training in crowd management for some personnel serving on passenger ships. Records of familiarisation and instructions received by crew members should be available for examination by the auditor(s). (e.g. TBM, refresher etc.)

SMS must embrace all existing International Conventions, national rules and regulations, industry guidelines and codes of practice. It is acceptable for the SMS to encompass such documents as the Code of Safe Working Practices for Merchant Seamen, the Bridge Procedures Guide and the Tanker Safety Guide etc.

The means of identifying the training needs of individuals, both ashore and onboard, is for the Company to address. This may be achieved by a staff appraisal, the end of contract report for seagoing staff, by results of internal audits, drills and analysis of accidents. Training requirements could be met by refresher training courses and on the job experience.

The SMS, in whatever form, must be available to all personnel, both ashore and afloat. It is the responsibility of the Company to ensure that the Manuals are in a language(s) understood by the crew. The Company’s procedures should detail the process by which crew members are selected and detailed to its ships and are familiarised with their responsibilities prior to taking up a position on board.

The ability of crew members to communicate effectively is fundamental to the safety of the ship. This should be assessed at the recruitment stage and manning agencies should be vigilant in this exercise. The Company should ensure that there are procedures in place to monitor the manning agencies which they use.


The Company should establish procedures for the preparation of plans and instructions, including checklists as appropriate, for key shipboard operations concerning the safety of the ship and the prevention of pollution. The various tasks involved should be defined and assigned to qualified personnel.


The Company should establish the key shipboard operations and ensure that procedures and instructions are laid down for carrying out these operations. While shipboard operations will vary from ship type to ship type, it is suggested that plans and instructions for the following operations should be documented:

general shipboard operations
port operations
preparation for sea
conduct of the voyage
preparation for arrival in port and
emergency response organisation

The auditor(s) should verify that the operations established by the Company are pertinent and comprehensive for the ship type(s) that the Company operates.


The Company should :

  • identify potential emergency shipboard situations, and establish procedures to respond to them.
  • establish programmes for drills and exercises to prepare for emergency actions.

The SMS should provide for measures ensuring that the Company's organization can respond at any time to hazards, accidents and emergency situations involving its ships.


The procedures should integrate the response to potential emergencies by shore-side and shipboard operations. The Maritime Safety Committee of the IMO has developed ‘‘Guidelines for an Integrated System of Contingency Planning for Shipboard Emergencies’’

The drill programme should exercise the emergency plans and where appropriate, mobilise the shore-side emergency contingency plans.

Drills should be carried out at regular intervals in order to test the Company’s emergency response organisation and the competence of those who will be called upon in a real emergency. The ability of the personnel ashore to respond to emergencies should also be tested periodically. Records of all drills and exercises should be kept and be made available for examination. In the event of the Company having to respond to a real emergency this may be considered in lieu of an exercise drill, providing that records have been retained and analysed.


Contingency Plans may include:
the role and responsibilities of shore and ship personnel at the time of an emergency
a list of names and contact numbers of all relevant parties
procedures to be followed in response to varying emergency scenarios
procedures for communication between ship and shore
a database of plans, particulars of vessels, emergency response capabilities, damage stability information and pollution prevention equipment
checklists for a range of emergencies (the use of checklists is strongly encouraged)
procedures for notifying next of kin
guidelines for liaising with the press and media; and. procedures for requesting emergency services from third parties

Emergency scenarios for which contingency plans might be developed, include, but are not restricted to:
structural failure;
main engine failure;
failure of steering gear;
failure of electrical power;
shift of cargo;
pollution (spillage of oil or other cargo);
abandon ship;
man overboard;
entry into enclosed spaces;
terrorism or piracy;
helicopter operations for medical evacuation;
heavy weather damage; and
treatment of serious injury


The SMS should include procedures ensuring that non-conformities, accidents and hazardous situations are reported to the company, investigated and analyzed with the objective of improving safety and pollution prevention.

The Company should establish procedures for the implementation of corrective action.


The SMS should contain procedures that require reports to be prepared and forwarded to the Company on all accidents, hazardous occurrences and non-conformities. They should be monitored by the Designated Person and the appropriate corrective action determined with the ultimate aim of avoiding a recurrence of the incident or non-conformity.

Any deviation from the SMS procedures and instructions, that represents a non-conformity, should be recorded, raised on a non-conformity note and forwarded to the Designated Person. The system should be designed to allow for continual updating, amendment and improvement as a result of the reporting procedures.

The reports should be recorded, investigated, evaluated, analysed and acted upon as necessary. There should be procedures for feedback to the reporting ship and for circulation around all appropriate areas. Motivation is a significant factor in the success of the management system and feedback is a powerful motivator. Feedback should be recorded. Evaluation and analysis may lead to:

identification and implementation of corrective action;
benefits to the whole Company;
amendments to existing procedures;
development of new procedures.

The Accident Reporting and Investigation Regulations (S.I. 2005 No. 881) define accidents, serious injuries and dangerous occurrences along with statutory reporting requirements.


The Company should establish procedures to ensure that the ship is maintained in conformity with the provisions of the relevant rules and regulations and with any additional requirements which may be established by the Company.

To meet the requirements :

1. inspections are held at appropriate intervals;
2. any non-conformity is reported, with its possible cause, if known;
3. appropriate corrective action is taken; and
4. records of these activities are maintained.

The Company should identify equipment and technical systems the sudden operational failure of which may result in hazardous situations. The SMS should provide for specific measures aimed at promoting the reliability of such equipment or systems. These measures should include the regular testing of stand-by arrangements and equipment or technical systems that are not in continuous use. (Critical Equipments)

The inspections mentioned as well as the measures should be integrated into the ship's operational maintenance routine.


Procedures should be developed to ensure that maintenance, surveys, repairs and dry-docking are carried out in a planned and structured manner with safety as a priority. All personnel responsible for maintenance should be suitably qualified and familiar with national and international legislation as well as classification society requirements. The shore-side management team ashore shall provide technical support and advice to the seagoing staff.
Maintenance procedures must also include work instructions to ensure that machinery or systems undergoing maintenance have been rendered safe prior to starting work i.e. that systems under pressure such as engine cooling water, oil fuel and steam systems have been securely isolated and de-pressurised.
The Company should arrange for inspections of its vessels to be carried out at regular intervals. These inspections should be executed in compliance with the appropriate procedures by competent and qualified personnel. Records of maintenance, inspections, certificates and reports may be maintained both on board ship and ashore if considered appropriate by the company.

(IMCAM 149 Issue 7)


Maintenance procedures should include:
hull and superstructure;
life saving, fire fighting and anti-pollution equipment;
navigational equipment;
steering gear;
anchors and mooring equipment;
main engine and auxiliary machinery including pressurised systems;
cargo loading and discharge equipment;
tank venting and inerting systems;
fire detecting systems;
bilge and ballast pumping systems;
waste disposal and sewage systems;
communications equipment;
emergency lighting; and
gangways and means of access.

There should be procedures for reporting non-conformities and deficiencies that should include a time scale for completion of corrective action. It is the Company’s responsibility to ensure that reports are investigated and feedback provided to the reporting officer. The Company should be seen to be providing support to enable the SMS to function effectively.

It is the Company’s responsibility to identify critical systems and equipment. Once the critical systems have been identified, procedures should be developed to ensure reliability of these systems or the provision of alternative arrangements in the event of sudden failure. The procedures implemented should include the regular testing of stand-by systems in order to ensure that one failure does not result in the total loss of that critical function. Maintenance routines should include the regular and systematic testing of the all such critical and stand-by systems.

Critical equipment listings may include:
navigational aids including radar;
fire pumps including emergency fire pump(s);
generators including emergency generator;
steering gear;
fuel systems;
lubricating oil systems;
emergency stops and remote closing devices;
communications systems;
main engine propulsion systems.

The auditor(s) should examine the measures which have been developed to promote reliability including records, frequency of inspection/testing and maintenance procedures.

1.10 DOCUMENTATION (ISM Code Clause 9)

The Company should establish and maintain procedures to control all documents and data which are relevant to the SMS

Ensure that:

.1 valid documents are available at all relevant locations;
.2 changes to documents are reviewed and approved by authorized personnel; and
.3 obsolete documents are promptly removed.

The documents used to describe and implement the SMS may be referred to as the Safety Management Manual. Documentation should be kept in a form that the Company considers most effective. Each ship should carry on board all documentation relevant to that ship.

Procedures should be in place for the control of all documentation, which should be approved prior to issue and assessed for its user friendliness. This is an essential element of any SMS Personnel at all levels within the Company should be familiar with the procedures and with the latest version of the documentation. Obsolete documentation should be removed from all locations, otherwise, there is the risk that superseded procedures may remain in use.
Companies should be encouraged to limit their documentation to that which is necessary to meet their safety and environmental protection requirements. The Keep it Short and Simple (KISS) principle should be promoted in the development of procedures and instructions. The documentation developed by the Company should be that which is most effective for its operation. Excessive documentation may be counter productive to the effective functioning of a SMS and will certainly be more cumbersome for the personnel implementing the system.


The Company should carry out internal safety audits on board and ashore at intervals not exceeding twelve months to verify whether safety and pollution-prevention activities comply with the SMS. In exceptional circumstances, this interval may be exceeded by not more than three months.

The Company should periodically evaluate the effectiveness of the SMS in accordance with procedures established by the Company

The audits and possible corrective actions should be carried out in accordance with documented procedures.

Personnel carrying out audits should be independent of the areas being audited unless this is impracticable due to the size and the nature of the Company.

The results of the audits and reviews should be brought to the attention of all personnel having responsibility in the area involved.

The management personnel responsible for the area involved should take timely corrective action on deficiencies found.


Internal audits should be conducted in order to verify that the SMS is functioning effectively. All sections of the SMS should be audited on a regular basis. While there is no stated period for audit, most Companies opt to audit each office or vessel annually. The company must complete internal audit procedures prior requesting for an External Audit.

A periodic review of the SMS should be carried out by company management. This review will form part of the safety management strategy of the Company and will be conducted in accordance with documented procedures. Minutes of the management review meetings should be recorded and corrective actions allocated to appropriate members of the management team with a view to improvement. The management review should be an opportunity for a critical review by the company and ship of the performance of the SMS over the past year, or other period. Audit reports, inspection reports, non-conformities, accident reports, risk assessments, permits to work, near miss reports, defect lists, complaints, etc should be reviewed with the object of identifying trends, root causes, areas of concern, etc with a view to continually improve the operation of the SMS both ashore and on board.

Internal auditors should be Independent of the operation being audited however this may not always be possible in small companies with limited management resources. Wherever practicable, the auditor should not normally be involved in the working of the area being assessed. Personnel carrying out internal audits should, have received appropriate training.

In order to improve the SMS it is important that the results of the Company’s internal audits and reviews are promulgated to all persons having responsibility for the SMS. Findings, conclusions and recommendations should be recorded. The persons with responsibility for that area should take timely corrective action.