§3203 Safety Management System

Summary

The Secretary must set rules that create a safety management system for people in charge and for vessels covered by this chapter, including all covered small passenger vessels (see section 3306(n)(5)). The rules must require a safety and environmental policy; clear instructions and procedures to run vessels safely and protect the environment under U.S. and international law; defined authority and communication lines for shore and ship staff; ways to report accidents and rule violations; procedures and yearly training on preventing, reporting, responding to, intervening in, and investigating sexual harassment and assault; the list and log book required by section 3106(a)(2) and (3); emergency planning and response steps; and regular internal audits and management reviews. The rules must match the reporting requirements in section 10104. During an audit under section 10104(e), the Secretary can suspend a vessel’s Safety Management Certificate (issued under section 3205) and issue a separate certificate that lasts 3 months, and must revoke the certificate if the holder knowingly or repeatedly failed to follow section 10104 or if SMS failures caused noncompliance. The same audit, suspension (3 months), and revocation rules apply to Documents of Compliance for responsible persons. The regulations must align with the International Safety Management Code for vessels under section 3202(a). When making rules for passenger and small passenger vessels, the Secretary must consider the vessels’ size, how they operate, and, for ferries, the size of the ferry system.