###### Editorial Note on [Part 96](/current/title-33/part-96?toc=1)

#### Editorial Note:

Nomenclature changes to part 96 appear by USCG-2010-0351, [75 FR 36281](https://www.federalregister.gov/citation/75-FR-36281), June 25, 2010, and by USCG-2014-0410, [79 FR 38432](https://www.federalregister.gov/citation/79-FR-38432), July 7, 2014.

#### § 96.250 What documents and reports must a safety management system have?

The documents and reports required for a safety management system under [§ 96.330](/on/2024-09-19/title-33/section-96.330) or [§ 96.340](/on/2024-09-19/title-33/section-96.340) must include the written documents and reports itemized in Table [96.250](/on/2024-09-19/title-33/section-96.250). These documents and reports must be available to the company's shore-based and vessel(s)-based personnel:

Table [96.250](/on/2024-09-19/title-33/section-96.250)—Safety Management System Documents and Reports

| Type of documents and reports | Specific requirements |
| --- | --- |
| (a) Safety and environmental policy statements | (1) Meet the objectives of [§ 96.230](/on/2024-09-19/title-33/section-96.230); and (2) Are carried out and kept current at all levels of the company; |
| (b) Company responsibilities and authority statements | (1) The owners name and details of responsibility for operation of the company and vessel(s); (2) Name of the person responsible for operation of the company and vessel(s), if not the owner; |
| | (3) Responsibility, authority and interrelations of all personnel who manage, perform, and verify work relating to and affecting the safety and pollution prevention operations of the company and vessel(s); and |
| | (4) A statement describing the company's responsibility to ensure adequate resources and shore-based support are provided to enable the designated person or persons to carry out the responsibilities of this subpart. |
| (c) Designation in writing of a person or persons to monitor the safety management system for the company and vessel(s) | (1) Have direct access to communicate with the highest levels of the company and with all management levels ashore and aboard the company's vessel(s); (2) Have the written responsibility to monitor the safety and environmental aspects of the operation of each vessel; and (3) Have the written responsibility to ensure there are adequate support and shore-based resources for vessel(s) operations. |
| (d) Written statements that define the Master's responsibilities and authorities | (1) Carry out the company's safety and environmental policies; (2) Motivate the vessel's crew to observe the safety management system policies; |
| | (3) Issue orders and instructions in a clear and simple manner; |
| | (4) Make sure that specific requirements are carried out by the vessel's crew and shore-based resources; and |
| | (5) Review the safety management system and report non-conformities to shore-based management. |
| (e) Written statements that the Master has overriding responsibility and authority to make vessel decisions | (1) Ability to make decisions about safety and environmental pollution; and (2) Ability to request the company's help when necessary. |
| (f) Personnel procedures and resources which are available ashore and aboard ship. | (1) Masters of vessels are properly qualified for command; (2) Masters of vessels know the company's safety management system; (3) Owners or companies provide the necessary support so that the Master's duties can be safely performed; |
| | (4) Each vessel is properly crewed with qualified, certificated and medically fit seafarers complying with national and international requirements; |
| | (5) New personnel and personnel transferred to new assignments involving safety and protection of the environment are properly introduced to their duties; |
| | (6) Personnel involved with the company's safety management system have an adequate understanding of the relevant rules, regulations, codes and guidelines; |
| | (7) Needed training is identified to support the safety management system and ensure that the training is provided for all personnel concerned; |
| | (8) Communication of relevant procedures for the vessel's personnel involved with the safety management system is in the language(s) understood by them; and |
| | (9) Personnel are able to communicate effectively when carrying out their duties as related to the safety management system. |
| (g) Vessel safety and pollution prevention operation plans and instructions for key shipboard operations. | (1) Define tasks; and (2) Assign qualified personnel to specific tasks. |
| (h) Emergency preparedness procedures. | (1) Identify, describe and direct response to potential emergency shipboard situations; (2) Set up programs for drills and exercises to prepare for emergency actions; and (3) Make sure that the company's organization can respond at anytime, to hazards, accidents and emergency situations involving their vessel(s). |
| (i) Reporting procedures on required actions. | (1) Report non-conformities of the safety management system; (2) Report accidents; (3) Report hazardous situations to the owner or company; and (4) Make sure reported items are investigated and analyzed with the objective of improving safety and pollution prevention. |
| (j) Vessel maintenance procedures. (These procedures verify that a company's vessel(s) is maintained in conformity with the provisions of relevant rules and regulations, with any additional requirements which may be established by the company.) | (1) Inspect vessel's equipment, hull, and machinery at appropriate intervals; (2) Report any non-conformity or deficiency with its possible cause, if known; (3) Take appropriate corrective actions; (4) Keep records of these activities; (5) Identify specific equipment and technical systems that may result in a hazardous situation if a sudden operational failure occurs; |
| | (6) Identify measures that promote the reliability of the equipment and technical systems identified in paragraph (j)(5), and regularly test standby arrangements and equipment or technical systems not in continuous use; and |
| | (7) Include the inspections required by this section into the vessel's operational maintenance routine. |
| (k) Safety management system document and data maintenance | (1) Procedures which establish and maintain control of all documents and data relevant to the safety management system. |
| | (2) Documents are available at all relevant locations, i.e., each vessel carries on board all documents relevant to that vessels operation; |
| | (3) Changes to documents are reviewed and approved by authorized personnel; and |
| | (4) Outdated documents are promptly removed. |
| (l) Safety management system internal audits which verify the safety and pollution prevention activities | (1) Periodic evaluation of the safety management system's efficiency and review of the system in accordance with the established procedures of the company, when needed; (2) Types and frequency of internal audits, when they are required, how they are reported, and possible corrective actions, if necessary; |
| | (3) Determining factors for the selection of personnel, independent of the area being audited, to complete internal company and vessel audits; and |
| | (4) Communication and reporting of internal audit findings for critical management review and to ensure management personnel of the area audited take timely and corrective action on non-conformities or deficiencies found. |
| | |
| --- | --- |
| Note: The documents and reports required by this part are for the purpose of promoting safety of life and property at sea, as well as protection of the environment. The documents and reports are intended to ensure the communication and understanding of company and vessel safety management systems, which will allow a measure of the systems effectiveness and its responsible person to continuously improve the system and safety the system provides. | |