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Proposed Safety Management Regulations for
Canadian Vessels
National and Regional Consultation
Table of Contents
- Overview
- Background - Safety
- Background - SMS
- Safety Management Regulations
- Proposed Approach
- A Common Understanding of SMS
- SMS Requirements
- Proposed SMS Certification Scheme
- Tier I Proposed SMS Certification
- Tier II Proposed SMS Certification
- Tier III Proposed SMS Certification
- SMS Facts
- Benefits of a Safety Management Approach
- Relationship between Operator and Regulator
- Outcomes
- Next Steps
- Questions
Overview
- Provide an update on Marine Safety’s proposed Safety Management Regulations
- The objectives of the presentation are to:
- Advance dialogue on the proposed Safety Management Regulations;
- Increase understanding of the proposed SMS requirements; and
- Obtain stakeholder feedback.
- Advance dialogue on the proposed Safety Management Regulations;
Background - Safety
- Objectives of the Canada Shipping Act, 2001 and proposed regulations:
- Promote safety;
- Protect the marine environment;
- Protect the health and well-being of individuals; and
- Promote an efficient marine transportation system.
- Promote safety;
- Reduce the number of marine related accidents, incidents and fatalities.
- Further implement Transport Canada priorities.
- Implement recommendations of the Transportation Safety Board.
Background - SMS
- Transport Canada promotes the implementation of Safety Management Systems in all modes.
- In the Canadian marine industry, SMS is currently required by regulation for vessels subject to the SOLAS Convention (ISM Code).
- In the Canadian domestic fleet, some operators have voluntarily implemented safety management systems (ISM Code).
- Pilot tested the domestic implementation of SMS with the Pacific towboat industry.
- Preliminary consultations conducted in Fall 2010.
Safety Management Regulations
- Amend the existing Safety Management Regulations to apply to the Canadian domestic fleet.
- Amending the regulations would:
- Ensure compliance with international obligations, standards and practices;
- Increase effective management of safety;
- Improve the focus of safety activities on performance and results;
- Better allocate resources against identifiable risks; and
- Improve the safety culture in the Canadian domestic fleet.
- Ensure compliance with international obligations, standards and practices;
Proposed Approach
- Feedback from preliminary consultation indicates support for one set of SMS regulations.
- The proposed approach removes three-tier structure (ISM, DSM, Guides) and establishesone set of regulatory requirements.
- SMS requirements are based on the ISM Code
- The three-tier approach would apply for the purpose of certification.
A Common Understanding of SMS
- Definition of a SMS:
- Formalized method for systematically integrating safety and risk management into the daily operations of a transportation company.
- Facilitates compliance with prescriptive AND performance-based regulatory requirements.
- Provides a more proactive means of identifying and addressing existing and potential risks to safety.
- Formalized method for systematically integrating safety and risk management into the daily operations of a transportation company.
SMS Requirements
- General (Objectives)
- Safety and Environmental Protection Policy
- Company Responsibilities and Authority
- Designated Person
- Master’s Responsibilities and Authority
- Resources and Personnel Occurrences
- Shipboard Operations
- Emergency Preparedness
- Report and Analysis of Non-Conformities, Accidents and Hazardous
- Maintenance of the Ship and Equipment
- Documentation
- Company Verification, Review and Evaluation
Proposed SMS Certification Scheme
| Tier I Canadian vessels subject to Chapter IX of the International Convention for the Safety of Life at Sea (SOLAS) |
|---|
| Passenger ships, including passenger high-speed craft, not later than 1 July 1998 |
| Oil tankers, chemical tankers, gas carriers, bulk carriers and cargo high-speed craft of 500 gross tonnage and upwards, not later than 1 July 1998 |
| Other cargo vessels and mobile offshore drilling units of 500 gross tonnage and upwards, not later than 1 July 2002 |
| Tier II The second tier applies in respect of the following vessels that are not subject to the SOLAS Convention Chapter IX |
| A vessel of more than 24 meters in length that is not subject to the SOLAS Convention Chapter IX |
| A vessel that carries more than 12 passengers that is not subject to the SOLAS Convention Chapter IX |
| Tier III |
| A vessel that is not subject to Tier I or Tier II requirements. |
Tier I Proposed SMS Certification
Application: Vessels subject to the SOLAS Convention
- Passenger ships, including passenger high-speed craft, not later than 1 July 1998;
- Oil tankers, chemical tankers, gas carriers, bulk carriers and cargo highspeed craft of 500 gross tonnage and upwards, not later than 1 July 1998; and
- Other cargo vessels and mobile offshore drilling units of 500 gross tonnage and upwards, not later than 1 July 2002.
Certification:
- The Authorized Representative shall have its SMS certified and audited by
a Classification Society that is authorized by the Minister of Transport.
Issuance of ISM Certification:
- Companies / Vessels subject to the SOLAS Convention will be issued a
DOC and SMC(s)
Tier II Proposed SMS Certification
Application:
- A vessel of more than 24 meters in length that is not subject to the SOLAS Convention Chapter IX; and
- A vessel that carries more than 12 passengers that is not subject to the SOLAS Convention Chapter IX.
Certification:
- The Authorized Representative shall have its SMS certified and audited by a Classification Society or Organization that is authorized by the Minister of Transport.
Issuance of Certification:
- Companies / Vessels will be issued a DDOC and DSMC(s)
Tier III Proposed SMS Certification
Application:
- The third tier applies in respect of a vessel that is not subject to Tier I or Tier II requirements.
Safety Management Certification is not Required:
- An Authorized Representative of a vessel in Tier III is not subject to a safety management system certification scheme.
- An Authorized Representative is required to comply with the safety management regulations at all times.
- Compliance with the safety management regulations will be subject to verification by a Marine Safety Inspector during a vessel inspection.
SMS Facts
- SMS regulations will not remove the requirement for a vessel to be inspected and carry Canadian Maritime Documents (certificates).
- SMS has its own certification scheme:
- Document of Compliance (DoC) for a Company
- Safety Management Certificate (SMC) for each vessel
- SMS is an independent safety requirement
- It does not replace any other safety requirement under any other regulation.
Benefits of a Safety Management Approach
- Reduction in the likelihood of incidents and accidents and associated costs.
- Facilitates industry’s ability to comply with regulations and other requirements, which would improve safety performance.
- Creates a standardized and consistent safety regime.
- Enhances risk management and information sharing.
- Allows for flexibility and innovation: companies can develop safety management systems that reflect their specific operations.
Relationship between Operator and Regulator
- Transport Canada will develop SMS guidance material to build awareness and assist operators in the development of their own systems.
- SMS is a safety requirement that is subject to inspection, audit and certification as with any other safety requirement.
- The implementation of safety management regulatory requirements will enhance vessel safety.
Outcomes
- Better informed policy makers, Authorized Representatives, seafarers and industry stakeholder
- Increased capacity and capability to address risks to safety, accidents and fatalities.
- A comprehensive, systemic and risk-based approach to managing safety.
- Enhanced safety culture by establishing a stronger accountability for safety.
Next Steps
- In Fall 2011 and Winter 2012, Marine Safety will continue to conduct extensive consultation with industry stakeholders through regional and national CMAC and other venues.
- Marine Safety welcomes industry to participate and to provide comments and feedback as it consults on the proposed Safety Management Regulations.
- In Fall 2012, develop drafting instructions for regulations and other mandatory instruments.
Questions?
Contact:
Ryan Coates
Policy Analyst, Marine Safety
ryan.coates@tc.gc.ca
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Proposed Safety Management Regulations for Canadian Vessels (34 KB) 
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