The NTSB has long been concerned about the issue of SMS on board ship, both domestic and foreign, and issues concerning SMS subsystems, such as preventive maintenance. The NTSB has stressed its concerns in numerous investigation reports issued since the 1970s.(1)
The International Safety Management Code (ISM),(2) adopted by the International Maritime Organization (IMO) in November 1993, mandated that ISM be phased in between July 1998 and July 2002. The IMO developed the ISM because it recognized that effective company management was paramount to ensuring marine safety and environmental protection. As the full title implies, the objective of the ISM is to encourage companies to develop and maintain an SMS that accomplishes the following general measures:
The ISM provides specific guidelines to companies for developing an effective SMS that includes the following functional requirements:
A most important part of the ISM is the requirement to record incidents, analyze, and try to identify the basic cause in order to prevent recurrences. While the ISM was developed primarily for deep-draft vessels engaged in international commerce, the provisions of ISM are general and may be applied to all sectors of domestic vessel operations. The American Waterway Operators' Responsible Carrier Program has adopted similar provisions.
NTSB investigations of domestic operations have highlighted shortcomings in several areas that an SMS could address. An effective domestic SMS should include companies' designating a shoreside person (or persons) having direct access to the highest level of management to be authorized and responsible for monitoring the safety and pollution aspects of each ship in the company's fleet and to ensure that adequate resources and shore-based support are applied as needed. In addition, the company should clearly define and document the areas of responsibility for each vessel's master. The central objectives of an SMS are improved safety practices, and an SMS is widely regarded as the single most important development in maritime safety.
The Coast Guard has plans to require an SMS as part of its pending regulations for towing vessels in 46 CFR Subchapter M, and has discussed the possibility of requiring an SMS for large domestic ferries. The Passenger Vessel Association has developed a Preventive Maintenance syllabus for its members. The NTSB is concerned, however, that the Coast Guard has yet to finalize its towing vessel regulations and has yet to take action to require an SMS for large ferries and small passenger vessels.
On February 13, 2009, the Coast Guard advised the NTSB that it had set an applicability threshold for vessels carrying more than 399 passengers in its requested legislative change proposal. Safety Recommendation M-05-6 was classified "Open-Unacceptable Response" on August 27, 2009, because the Coast Guard's requested legislative change proposal did not apply to all U.S.-flag ferries as requested. NTSB staff has reviewed a bill currently pending in the U.S. House of Representatives, H.R. 3619, Marine Safety Act of 2009, that would amend the statute to require an SMS on domestic passenger and small passenger vessels without mention of any passenger carriage threshold.
The NTSB believes that the Coast Guard should require an SMS for all domestic vessels without delay, so that the same level of safety is applied to the domestic fleet of vessels as is applied to the international fleet.
Issuance of domestic regulations by the Coast Guard to require the development and implementation of an SMS for all systems that affect the safe operation of domestic vessels, similar to the requirements of 33 CFR 96, which incorporates the requirements of the International Maritime Organization's Safety of Life at Sea, Chapter IX.
M-02-5 (USCG)
Issued July 3, 2002
Newly Added to the Most Wanted List
Status: Open-Unacceptable Response
Require that companies operating domestic passenger vessels develop and implement a preventive maintenance program for all systems affecting the safe operation of their vessels, including the hull and mechanical and electrical systems. (Source:U.S. Small Passenger Vessel Port Imperial Manhattan Hudson River, New York City, New York, November 17, 2000, Marine Accident Report [NTSB/MAR-02-02])
M-05-6 (USCG)
Issued March 18, 2005
Newly Added to the Most Wanted List
Status: Open-Unacceptable Response
Seek legislative authority to require all U.S.-flag ferry operators to implement safety management systems, and once obtained, require all U.S.-flag ferry operators to do so. (Source Allision of Staten Island Ferry Andrew J. Barberi, St. George, Staten Island, New York, October 15, 2003, Marine Accident Report [NTSB/MAR -05-01])
M-07-6 (USCG)
Issued July 11, 2007 (Superseded M-00-10)
Newly Added to the Most Wanted List
Status: Open-Unacceptable Response
Finalize and implement the new towing vessel inspection regulations and require the establishment of safety management systems appropriate for the characteristics, methods of operation, and nature of service of towing vessels. (Source Fire Aboard Construction Barge Athena 106 West Cote Blanche Bay, Louisiana October 12, 2006, Marine Accident Report [NTSB/MAR -07-01])
