Marine Safety Management System Regulations

Marine Safety Management System Regulations Her Excellency the Governor General in Council, on the recommendation of the Minister of Transport, makes the annexed Marine Safety Management System Regulations under paragraphs 35(1)(b), (d)a and (e)b, 35.1(1)(d) to (i)c and (k)c, 120(1)(d) to (g)d, (i), (k) and (m), 150(1)(a), 190(1)(b) and 244(f)e to (h)f of the Canada Shipping Act, 2001g. S.C. 2023, c. 26, s. 360 S.C. 2019, c. 1, s. 141 S.C. 2018, c. 27, s. 692 S.C. 2018, c. 27, s. 694 S.C. 2014, c. 29, s. 75(1) S.C. 2018, c. 27, s. 709 S.C. 2001, c. 26 Definitions The following definitions apply in these Regulations. Act means the Canada Shipping Act, 2001. (Loi) Class 1 vessel means a Canadian vessel to which Chapter IX of SOLAS applies. (bâtiments de catégorie 1) Class 2 vessel means a Canadian vessel, other than a Class 1 vessel, that is 500 gross tonnage or more; or is certified to carry 50 passengers or more as indicated on the vessel’s safety certificate issued under the Vessel Safety Certificates Regulations and is 24 m in length or more. (bâtiments de catégorie 2) Class 3 vessel means a Canadian vessel, other than a Class 1 or 2 vessel, that is 24 m in length or more. (bâtiments de catégorie 3) Class 4 vessel means a Canadian vessel, other than a Class 1, 2 or 3 vessel, that is more than 15 gross tonnage; or is 15 gross tonnage or less and is a passenger-carrying vessel or a towboat. (bâtiments de catégorie 4) Class 5 vessel means a Canadian vessel, other than a Class 1, 2, 3 or 4 vessel, of 15 gross tonnage or less. (bâtiments de catégorie 5) ISM Code means the International Management Code for the Safe Operation of Ships and for Pollution Prevention adopted by the International Maritime Organization by resolution A.741(18). (Code ISM) Minister means the Minister of Transport. (ministre) passenger-carrying vessel means a vessel that is used to carry one or more passengers. (bâtiment transportant des passagers) ship manager means a qualified person who is responsible for managing the shore-based and on-board operations of a vessel. (gestionnaire) SOLAS means the International Convention for the Safety of Life at Sea, 1974, and the Protocol of 1988 relating to the Convention. (SOLAS) towboat has the same meaning as in section 1 of the Navigation Safety Regulations, 2020. (bâtiment remorqueur) Safety management system A safety management system is a structured set of policies and procedures whose purpose is to enable the effective implementation of safety and environmental protection policies. Documents — as amended from time to time Any reference in these Regulations to a document is a reference to that document as amended from time to time. Documents incorporated by reference For the purpose of interpreting a document incorporated by reference into these Regulations, “should” is to be read as “must”; “Administration” is to be read as “Minister”; “Company” is to be read as “ship manager”; “ship” is to be read as “vessel”; and “rules” and “regulations” are to be read as “regulations made under the Act”. Length and gross tonnage Any reference in these Regulations to the length or gross tonnage of a vessel is a reference to the length or gross tonnage indicated on the certificate of registry issued to it under the Vessel Registration and Tonnage Regulations. Canadian vessels These Regulations establish the requirement that the ship manager of a Class 1, 2, 3, 4 or 5 vessel develop, implement and maintain a documented safety management system that addresses the shore-based and on-board operations of the vessel. Foreign vessels These Regulations establish the requirement that the authorized representative of a foreign vessel to which Chapter IX of SOLAS applies and that is in Canadian waters operates the vessel in accordance with the procedures and practices described in a documented safety management system. Application Subject to section 7, these Regulations apply in respect of Class 1, 2, 3, 4 and 5 vessels and their shore-based and on-board operations; and foreign vessels to which Chapter IX of SOLAS applies that are operating in Canadian waters. Non-application These Regulations do not apply in respect of a vessel subject to the Fishing Vessel Safety Regulations; a vessel that does not have a mechanical means of propulsion and does not carry persons, dangerous chemicals in bulk or oil in bulk on board; a human-powered vessel; a vessel subject to the Special-purpose Vessels Regulations; or a pleasure craft. Prohibition — foreign vessels subject to SOLAS The authorized representative of a foreign vessel must not operate the vessel in Canadian waters unless a safety management certificate or interim safety management certificate that was issued in respect of the vessel by the government of the State whose flag the vessel is entitled to fly is kept on board; a document of compliance or interim document of compliance that applies to the vessel and was issued by the government of the State whose flag the vessel is entitled to fly is kept on board; and the authorized representative ensures that the vessel operates in accordance with the procedures and practices described in the documented safety management system in relation to which the certificate referred to in paragraph (a) and the document referred to in paragraph (b) were issued. Exchange The Minister must, on application by the holder of a Canadian Document of Compliance, exchange that document for a Canadian Document of Compliance of another class if the requirements for the issuance of that other Canadian Document of Compliance are met and the holder is not in contravention of a provision of these Regulations. Endorsement The holder of a Canadian maritime document issued under these Regulations that is valid for more than one year must ensure that the shore-based and on-board operations of each vessel to which the document applies are inspected not later than the dates determined by the Minister, as indicated on the document at the time it is issued; and the document is endorsed by the Minister following the inspection to indicate that the requirements for the issuance of the document continue to be met. Identification of ship manager The authorized representative of a Canadian vessel must, on the request of the Minister, identify the ship manager in the form and manner specified by the Minister. Issuance — Documents of Compliance The Minister must, on application by a ship manager of a Class 1 vessel, issue the following documents to them: an Interim Document of Compliance, if the Minister determines that the ship manager has developed a documented safety management system and that the requirements set out in paragraph 14.1 of Part B of the ISM Code are met; and a Document of Compliance, if the Minister determines that the ship manager has developed and implemented a documented safety management system that meets the requirements of Part A of the ISM Code. Types of vessels The Minister must, when issuing a Document of Compliance or an Interim Document of Compliance, specify on the document the types of vessels to which the document applies. Issuance — safety management certificates The Minister must, on application by a ship manager of a Class 1 vessel, issue the following documents in respect of the vessel to them: an Interim Safety Management Certificate, if the Minister determines that the ship manager has developed a documented safety management system and that the requirements set out in paragraphs 14.2 and 14.4 of Part B of the ISM Code are met; and a Safety Management Certificate, if the Minister determines that the vessel operates in accordance with the procedures and practices described in the safety management system and that the system meets the requirements for the issuance of a Document of Compliance under subsection 100(1). Documents on board — master The master of a Class 1 vessel must ensure that the Document of Compliance or Interim Document of Compliance that was issued to the vessel’s ship manager is kept on board; the Safety Management Certificate or Interim Safety Management Certificate that was issued in respect of the vessel to the vessel’s ship manager is kept on board; and the document in which the safety management system referred to in subsection 100(1) is set out is kept on board. Production of documents The ship manager of a Class 1 vessel must ensure that the Document of Compliance or Interim Document of Compliance that was issued to the ship manager is produced on the request of the Minister; the Safety Management Certificate or Interim Safety Management Certificate that was issued in respect of the vessel to the ship manager is produced on the request of the Minister; and the document in which the safety management system referred to in subsection 100(1) is set out is produced on the request of the Minister. Audits and reviews The ship manager of a Class 1 vessel must ensure that an internal audit and management review is carried out in accordance with section 12 of Part A of the ISM Code to verify whether the shore-based and on-board operations of the vessel comply with the procedures and practices described in the safety management system that is referred to in subsection 100(1). Frequency The ship manager must ensure that the audits and management reviews are carried out at frequencies determined in accordance with paragraph 12.1 of Part A of the ISM Code. Disclosure to personnel The ship manager must ensure that the results of the audits and management reviews for an area of operation are brought to the attention of all personnel that have responsibility in that area. Corrective action plan The ship manager must ensure that a corrective action plan to address any deficiency identified during an audit is developed and implemented in a timely manner after the day on which the deficiency is identified. Content of corrective action plan The ship manager must ensure that the corrective action plan identifies the cause of any deficiency and specifies a process to rectify it and the actions to be taken to prevent a recurrence. Results kept and produced The ship manager must ensure that the results of the audits and management reviews are kept for a period of at least 5 years; and produced on the request of the Minister. Prohibition — authorized representative and ship manager It is prohibited for the authorized representative or ship manager of a Class 1 vessel to operate the vessel, or permit the vessel to be operated, unless the ship manager holds a Document of Compliance or an Interim Document of Compliance that applies to the type of vessel; holds a Safety Management Certificate or an Interim Safety Management Certificate that was issued in respect of the vessel; and maintains the safety management system referred to in subsection 100(1). Prohibition — authorized representative, ship manager and master It is prohibited for the authorized representative, ship manager or the master of a Class 1 vessel to operate the vessel, or permit the vessel to be operated, unless the vessel is operated in accordance with the procedures and practices described in the safety management system that is referred to in subsection 100(1). Issuance — Canadian Document of Compliance The Minister must, on application by a ship manager of a Class 2 vessel, issue a Class 2 Canadian Document of Compliance to them if the Minister determines that the ship manager has developed a documented safety management system that meets the requirements of Part A of the ISM Code. The Minister must, when issuing a Class 2 Canadian Document of Compliance, specify on the document the types of vessels to which it applies. Implementation The ship manager must ensure that the safety management system is implemented in respect of the shore-based and on-board operations of the vessel within six months after the day on which the Class 2 Canadian Document of Compliance is issued. Issuance — Canadian Safety Management Certificate The Minister must, on application by a ship manager of a Class 2 vessel, issue a Canadian Safety Management Certificate in respect of the vessel to them if the Minister determines that the ship manager has developed a documented safety management system that meets the requirements of Part A of the ISM Code. The ship manager must ensure that the safety management system is implemented in respect of the on-board operations of the vessel within six months after the day on which the Canadian Safety Management Certificate is issued. The master of a Class 2 vessel must ensure that the Class 2 Canadian Document of Compliance that was issued to the vessel’s ship manager is kept on board; the Canadian Safety Management Certificate that was issued in respect of the vessel to the vessel’s ship manager is kept on board; and the document in which the safety management system referred to in subsection 200(1) is set out is kept on board. The ship manager of a Class 2 vessel must ensure that the Class 2 Canadian Document of Compliance that was issued to the ship manager is produced on the request of the Minister; the Canadian Safety Management Certificate that was issued in respect of the vessel to the ship manager is produced on the request of the Minister; and the document in which the safety management system referred to in subsection 200(1) is set out is produced on the request of the Minister. The ship manager of a Class 2 vessel must ensure that an internal audit and management review is carried out in accordance with section 12 of Part A of the ISM Code to verify whether the shore-based and on-board operations of the vessel comply with the procedures and practices described in the safety management system that is referred to in subsection 200(1). It is prohibited for the authorized representative or ship manager of a Class 2 vessel to operate the vessel, or permit the vessel to be operated, unless the ship manager holds a Class 2 Canadian Document of Compliance that applies to the type of vessel; holds a Canadian Safety Management Certificate that was issued in respect of the vessel; and maintains the safety management system referred to in subsection 200(1). It is prohibited for the authorized representative, ship manager or master of a Class 2 vessel to operate the vessel, or permit the vessel to be operated, after the time limit referred to in subsection 201(2) unless the vessel operates in accordance with the procedures and practices described in the safety management system referred to in subsection 200(1). The Minister must, on application by a ship manager of a Class 3 vessel, issue a Class 3 Canadian Document of Compliance to them if the Minister determines that the ship manager has developed a documented safety management system that meets the requirements of Part A of the ISM Code, other than sections 4 and 12. The Minister must, when issuing a Class 3 Canadian Document of Compliance, specify on the document the types of vessels to which it applies. The ship manager must ensure that the safety management system is implemented in respect of the shore-based and on-board operations of the vessel within six months after the day on which the Class 3 Canadian Document of Compliance is issued. The Minister must, on application by a ship manager of a Class 3 vessel, issue a Canadian Safety Management Certificate in respect of the vessel to them if the Minister determines that the ship manager has developed a documented safety management system that meets the requirements of Part A of the ISM Code, other than sections 4 and 12. The master of a Class 3 vessel must ensure that the Canadian Document of Compliance that was issued to the vessel’s ship manager is kept on board; the document in which the safety management system is set out is kept on board. The ship manager of a Class 3 vessel must ensure that the Canadian Document of Compliance that was issued to the ship manager is produced on the request of the Minister; the document in which the safety management system is set out is produced on the request of the Minister. The ship manager of a Class 3 vessel must ensure that an internal audit and management review is carried out to verify whether the shore-based and on-board operations of the vessel comply with the procedures and practices described in the safety management system. Evaluation intervals The ship manager must ensure that the audits and management reviews are carried out at intervals not exceeding 12 months. It is prohibited for the authorized representative or ship manager of a Class 3 vessel to operate the vessel, or permit the vessel to be operated, unless the ship manager holds a Class 2 or Class 3 Canadian Document of Compliance that applies to the type of vessel; maintains the safety management system. It is prohibited for the authorized representative, ship manager or master of a Class 3 vessel to operate the vessel, or permit the vessel to be operated, after the time limit referred to in subsection 301(2) unless the vessel operates in accordance with the procedures and practices described in the safety management system. The Minister must, on application by a ship manager of a Class 4 vessel, issue a Class 4 Canadian Document of Compliance to them if the Minister determines that the ship manager has developed a documented safety management system that meets the requirements set out in sections 402 to 404. The Minister must, when issuing a Class 4 Canadian Document of Compliance, specify on the document the types of vessels to which it applies. The ship manager must ensure that the safety management system is implemented in respect of the shore-based and on-board operations of the vessel within six months after the day on which the Class 4 Canadian Document of Compliance is issued. The Minister must, on application by a ship manager of a Class 4 vessel, issue a Canadian Safety Management Certificate in respect of the vessel to them if the Minister determines that the ship manager has developed a documented safety management system that meets the requirements set out in sections 402 to 404. The ship manager of a Class 4 vessel must develop a documented safety management system that includes a safety and environmental protection policy; instructions and procedures to ensure compliance with provisions of the Act and its regulations respecting the safe operation of the vessel and the protection of the environment; defined levels of authority and lines of communication between, and among, shore-based and on-board personnel; procedures for reporting shipping casualties and situations of non-compliance with the requirements of the safety management system; procedures for preparing for and responding to emergency situations; and procedures for internal reviews of the safety management system. Instructions and procedures — paragraph 402(b) The instructions and procedures required under paragraph 402(b) must include instructions and procedures for equipment inspection, maintenance and testing; ensuring the vessel’s seaworthiness and stability; voyage planning, safe navigation and handling of the vessel; and ensuring safety at sea and preventing human injuries, loss of life and damage to the marine environment and to property. Procedures — paragraph 402(e) The procedures required under paragraph 402(e) must include procedures for preparing for and responding to shipping casualties and personnel accidents; dealing with equipment failure; responding to pollution incidents; and reporting emergency situations. Evaluations The ship manager of a Class 4 vessel must ensure that the effectiveness of the safety management system is evaluated in accordance with the procedures referred to in paragraph 402(f) to verify whether the shore-based and on-board operations comply with the procedures and practices described in the safety management system. The ship manager must ensure that the evaluations are carried out at intervals not exceeding 12 months. The ship manager must ensure that the results of the evaluation for an area of operation are brought to the attention of all personnel that have responsibility in that area. The ship manager must ensure that the results of the evaluation are The master of a Class 4 vessel must ensure that The ship manager of a Class 4 vessel must ensure that It is prohibited for the authorized representative or ship manager of a Class 4 vessel to operate the vessel, or permit the vessel to be operated, unless the ship manager holds a Class 2, Class 3 or Class 4 Canadian Document of Compliance that applies to the type of vessel; It is prohibited for the authorized representative, ship manager or master of a Class 4 vessel to operate the vessel, or permit the vessel to be operated, after the time limit referred to in subsection 401(2) unless the vessel operates in accordance with the procedures and practices described in the safety management system. The ship manager of a Class 5 vessel must develop a documented safety management system that includes procedures for the continuous improvement of the safety management system. The ship manager must ensure that the safety management system is implemented in respect of the shore-based and on-board operations of the vessel within six months after the day on which the vessel is registered. Instructions and procedures — paragraph (1)(b) The instructions and procedures required under paragraph (1)(b) must include instructions and procedures for Procedures — paragraph (1)(e) The procedures required under paragraph (1)(e) must include procedures for The master of a Class 5 vessel must ensure that the document in which the safety management system referred to in subsection 500(1) is set out is kept on board. The ship manager of a Class 5 vessel must ensure that the document in which the safety management system referred to in subsection 500(1) is set out is produced on the request of the Minister. It is prohibited for the authorized representative or ship manager of a Class 5 vessel to operate the vessel, or permit the vessel to be operated, unless the ship manager maintains the safety management system referred to in subsection 500(1); and ensures that the vessel operates in accordance with the procedures and practices described in the safety management system. It is prohibited for the authorized representative, ship manager or master of a Class 5 vessel to operate the vessel, or permit the vessel to be operated, after the time limit referred to in subsection 500(2) unless the vessel operates in accordance with the procedures and practices described in the safety management system that is referred to in subsection 500(1). Documents — Safety Management Regulations A Document of Compliance or Interim Document of Compliance issued under the Safety Management Regulations that is valid immediately before the day on which these Regulations come into force is deemed to have been issued under these Regulations. Certificates — Safety Management Regulations A Safety Management Certificate or Interim Safety Management Certificate issued under the Safety Management Regulations that is valid immediately before the day on which these Regulations come into force is deemed to have been issued under these Regulations. Part 2 — passenger-carrying vessels Sections 202 to 204 do not apply in respect of a Class 2 vessel that is a passenger-carrying vessel and that was registered or listed under Part 2 of the Canada Shipping Act, 2001 on the day on which these Regulations come into force until the first anniversary of the day on which the vessel’s first safety certificate issued under the Vessel Safety Certificates Regulations is renewed for the first time after the day on which these Regulations come into force. Part 2 — non passenger-carrying vessels Sections 202 to 204 do not apply in respect of a Class 2 vessel that is not a passenger-carrying vessel and that was registered or listed under Part 2 of the Canada Shipping Act, 2001 on the day on which these Regulations come into force until the first anniversary of the day on which the vessel’s first safety certificate issued under the Vessel Safety Certificates Regulations is renewed for the first time after the first anniversary of the day on which these Regulations come into force. Part 3 — passenger-carrying vessels Sections 302 to 304 do not apply in respect of a Class 3 vessel that is a passenger-carrying vessel and that was registered or listed under Part 2 of the Canada Shipping Act, 2001 on the day on which these Regulations come into force until the first anniversary of the day on which the vessel’s first safety certificate issued under the Vessel Safety Certificates Regulations is renewed for the first time after the day on which these Regulations come into force. Part 3 — non passenger-carrying vessels Sections 302 to 304 do not apply in respect of a Class 3 vessel that is not a passenger-carrying vessel and that was registered or listed under Part 2 of the Canada Shipping Act, 2001 on the day on which these Regulations come into force until the first anniversary of the day on which the vessel’s first safety certificate issued under the Vessel Safety Certificates Regulations is renewed for the first time after the first anniversary of the day on which these Regulations come into force. Part 4 — passenger-carrying vessels of more than 15 gross tonnage Sections 402 to 407 do not apply in respect of a Class 4 vessel of more than 15 gross tonnage that is a passenger-carrying vessel and that was registered or listed under Part 2 of the Canada Shipping Act, 2001 on the day on which these Regulations come into force until the first anniversary of the day on which the vessel’s first safety certificate issued under the Vessel Safety Certificates Regulations is renewed for the first time after the day on which these Regulations come into force. Part 4 — non passenger-carrying vessels of more than 15 gross tonnage Sections 402 to 407 do not apply in respect of a Class 4 vessel of more than 15 gross tonnage that is not a passenger-carrying vessel and that was registered or listed under Part 2 of the Canada Shipping Act, 2001 on the day on which these Regulations come into force until the first anniversary of the day of issuance of the vessel’s first safety certificate issued under the Vessel Safety Certificates Regulations after the second anniversary of the day on which these Regulations come into force. Part 4 — certain passenger-carrying vessels of 15 gross tonnage or less Sections 402 to 407 do not apply in respect of a Class 4 vessel of 15 gross tonnage or less that is a passenger-carrying vessel that carries more than 12 passengers and that was registered or listed under Part 2 of the Canada Shipping Act, 2001 on the day on which these Regulations come into force until the first anniversary of the day on which the vessel’s first safety certificate issued under the Vessel Safety Certificates Regulations is renewed for the first time after the day on which these Regulations come into force. Part 4 — other passenger-carrying vessels and towboats of 15 gross tonnage or less Sections 402 to 407 do not apply in respect of a Class 4 vessel of 15 gross tonnage or less that is a towboat or carries 12 passengers or less and that was registered or listed under Part 2 of the Canada Shipping Act, 2001 on the day on which these Regulations come into force until: in the case of a vessel with a length of more than 7 m, the first anniversary of the day of issuance of the certificate of registry issued under the Vessel Registration and Tonnage Regulations after the first anniversary of the day on which these Regulations come into force; and in the case of a vessel with a length of 7 m or less, the first anniversary of the day of issuance of the certificate of registry issued under the Vessel Registration and Tonnage Regulations after the second anniversary of the day on which these Regulations come into force. Part 5 — other vessels of 15 gross tonnage or less Subsection 500(2) and sections 501 and 502 do not apply in respect of a Class 5 vessel that was registered or listed under Part 2 of the Canada Shipping Act, 2001 on the day on which these Regulations come into force until the third anniversary of the day on which these Regulations come into force. [Amendments] The Safety Management Regulations2 are repealed. SOR/98-348 Publication These Regulations come into force on the day on which they are published in the Canada Gazette, Part II.