Checklist

Audit report item checklist

Reg: 15625L

HECTOR

Ref : TA00/2012/S0071

BUREAU VERITAS Marine Division

The latest published Rules of Bureau Veritas Marine Division and the General Conditions therein are applicable

SHIPS IN SERVICE AUDIT REPORT

Register No : 15625L Ship Name : HECTOR

Reference : TA00/2012/S0071 Audit Date : 18/06/2012

Audits
Code
SMCI

Name
ISM Initial Audit

TABLE OF CONTENTS

Page

DOCUMENT REVIEW ............................................................................................................................3 AUDIT PLAN .............................................................................................................................................3 IMPLEMENTATION................................................................................................................................3 CERTIFICATION AND VERIFICATION.............................................................................................6 SPECIFIC FLAG REQUIREMENTS .....................................................................................................7

BUREAU VERITAS

Page 2/7

18/06/12

Reg: 15625L

HECTOR

Ref : TA00/2012/S0071

  

Document Review
SMCI

ISM001

SMM (Safety Management Manual) last revision checked. Last Revision Date

WR

SR

NA

Audit Plan
SMCI

ISM063

Date on which the ISM code audit plan was communicated to the Client and those involved in the audit : [16/06/2012 ]

WR

SR

NA

Implementation
SMCI

General / Objectives
ISM002B

Objectives of the Company : Assess all identified risks to its ships, personnel and the environment.
ISM003 SMCI

1.2.2 Objectives of the Company 1.2.2 Objectives of the Company 1.2.2 Objectives of the Company

WR WR WR

SR SR SR

NA NA NA

Company objectives also establish safeguards against all identified risks.

ISM004 SMCI

Company objectives continuously improve safety management skills of personnel ashore and aboard ships.
ISM005 SMCI

SMS (Safety Management System) complies with mandatory rules & regulations (Check of all class & statutory certificates and CSR data).
ISM005B SMCI

1.2.3.1 SMS Complies with Rules & Regulations

WR

SR

NA

For Passenger ships / Ro-Ro Passenger ships: The Company's SMS is provided with one efficient control and record of changes and modifications made on board the ship that may affect its safety certificate
ISM006 SMCI

1.2.3.1 SMS Complies with Rules & Regulations

WR

SR

NA

SMS ensures that recommended applicable codes, guidelines and standards are taken into account.

1.2.3.1 SMS Complies with Rules & Regulations

WR

SR

NA

Safety and Environmental Protection Policy

ISM007 SMCI

Company had established a safety and environmental-protection policy, which describes how the objectives described in paragraph 1.2 of ISM Code will be achieved.
ISM008 SMCI

2.1 Safety and environmental policy

WR

SR

NA

Company ensures that the policy is implemented and maintained at all levels of the organisation, both ship-based and shore-based.

WR

SR

NA

Company Responsibility and Authority

ISM009 SMCI

Identification of responsible operator, if not the owner, reported to the Administration.

ISM010 SMCI

3.1 Identification of Responsible Operator 3.2 Responsibilities and Authorities of Responsible Personnel

WR WR

SR SR

NA NA

Definition of responsibilities, authorities and interrelations of responsible personnel.

BUREAU VERITAS

Page 3/7

18/06/12

Reg: 15625L

HECTOR

Ref : TA00/2012/S0071

ISM011

SMCI

Resources and shore-based support are provided for the Designated Person(s) to carry out their functions.

3.3 Resources for Designated Person ensured

WR

SR

NA

Designated Person(s)
ISM012 SMCI

Responsibilities and Authorities include monitoring the safety and pollution-prevention aspects of the operation of the ship and ensuring that adequate resources and shore-based support are applied. DPA (Designated Person Ashored) Name(s) [ ]

4 Designated Person

WR

SR

NA

Master s Responsibility and Authority

ISM013 SMCI

Implementation of the safety and environmental-protection policy of the Company.

ISM014 SMCI

5.1.1 Implementation of safety and environmental-protection Policy 5.1.2 Motivation of Crew 5.1.3 Clear and Simple Orders

WR

SR

NA

Motivation of crew in the observation of that policy.

ISM015 SMCI

WR WR WR WR

SR SR SR SR

NA NA NA NA

Issuance of appropriate orders and instructions in a clear and simple manner.

ISM016 SMCI

Verification that specific requirements are observed.

ISM017B SMCI

5.1.4 Verification of Specific Requirements 5.1.5 Review & Reports on S.M.S. are sent to the shore 5.2 Masters Overriding Authority

Periodically review of the SMS and reporting of its deficiencies to the shore-based management.
ISM018 SMCI

SMS contains a clear statement emphasising the master's authority.

WR

SR

NA

Resources and Personnel

ISM019 SMCI

Verify the Master's qualification.

ISM020 SMCI

6.1.1 Masters Qualification 6.1.2 Masters are conversant with SMS

WR WR WR

SR SR SR

NA NA NA

Verify that the Master is fully conversant with the SMS.

ISM021 SMCI

Verify that it is given the necessary support to the Master to perform his duties safely.
ISM022B SMCI

6.1.3 Masters are supported to perform their duties 6.2 Crew qualification, certification and medical fitness

WR

SR

NA

Verify the ship is manned with qualified, certified and medically fit seafarers.

A copy of the crew list and a list of all interviewed personnel shall be attached to the audit report.
ISM023 SMCI

New / transferred personnel to new assignments, related to safety and protection of the environment are being familiarised with their duties.
ISM024 SMCI

6.3 New/Transferred Personnel Familiarisation

WR

SR

NA

All personnel involved in the SMS have an adequate understanding of relevant rules, regulations, codes and guidelines.
ISM025 SMCI

6.4 Understanding Rules, Regulations, Codes and Guidelines

WR

SR

NA

Identification of training needs and confirmation that such training is provided.

ISM026 SMCI

6.5 Identification of Training Needs and Training actions

WR

SR

NA

Personnel receive relevant information on the SMS in (a) working language(s) understood by them.
ISM027 SMCI

6.6 Working language(s) for personnel's information

WR

SR

NA

Personnel are able to communicate effectively in the execution of their duties related to the SMS.

6.7 Effective Communication between ship's personnel (language)

WR

SR

NA

Shipboard Operations

BUREAU VERITAS

Page 4/7

18/06/12

Reg: 15625L

HECTOR

Ref : TA00/2012/S0071

ISM028B

SMCI

Preparation of procedures, plans and instructions for key shipboard operations. The various tasks are defined and assigned to the qualified personnel.

WR

SR

NA

Emergency preparedness
ISM029B SMCI

Identification of potential emergency shipboard operations and response to these emergency operations.
ISM030 SMCI

8.1 Identification, description and response to emergency situations 8.2 Emergency drills and exercices (ship/shore) 8.3 Company emergency response measures

WR

SR

NA

WR

SR

NA

Programmes for emergency drills and exercises.

ISM031 SMCI

WR

SR

NA

Company response measures at any time to hazards, accidents and emergency situations involving its ships.

Report and Analysis of Non-Conformities, Accidents and Hazardous Occurences

ISM032 SMCI

Reported to the Company, investigated & analysed with the objective of improving safety and pollution prevention, including near misses.
ISM033 SMCI

9.1 Reporting, Investigation & Analysis of NCs and hazardous occurrences

WR

SR

NA

Implementation of corrective action.

ISM104 SMCI

9.2 Corrective Action (CA) 9.1 Reporting, Investigation & Analysis of NCs and hazardous occurrences

WR WR

SR SR

NA NA

Verification of records of previous PSC Inspections which have raised PSC deficiencies in relation with the ISM Code (ship detained or not). Confirmation, through records or audits, that these deficiencies have been effectively corrected.

Maintenance of the Ships and Equipment

ISM034 SMCI

Maintenance to be in conformity with relevant Rules & Regulations and with any additional requirements which may be established by the company (including classification and statutory records).
ISM034B SMCI

10.1 Maintenance in Conformity with Relevant Rules, Regulations and any additional requirements from the Company

WR

SR

NA

Check the conformance with IACS UR E18: details of the scheduled and of the procedures related to batteries where fitted for essencial and emergency services to be included in the SMS.
ISM035 SMCI

10.4 10.2 & 10.3 integrated into the ship's maintenance routine

WR

SR

NA

Verify that inspection are held at appropriate intervals.

ISM036 SMCI

10.2.1 Inspection at appropriate intervals

WR WR WR WR

SR SR SR SR

NA NA NA NA

Verify that any non-conformity is reported.

ISM037 SMCI

10.2.2 Reports of NC and its possible cause 10.2.3 Appropriate Corrective Action 10.2.4 Records of these activities are maintained

Verify appropriate Corrective Action is taken.

ISM038 SMCI

Verify that records of these activities are maintained.

ISM039 SMCI

Identification of equipment and technical systems the sudden operational failure of which may result in hazardous situation.
ISM040 SMCI

10.3 Critical Equipment and Systems Identified / Measures to Promote Reliability

WR

SR

NA

SMS provides measures to promote reliability, including regular testing of standby arrangements and equipment or technical system that are not in continuous use.

WR

SR

NA

BUREAU VERITAS

Page 5/7

18/06/12

Reg: 15625L

HECTOR

Ref : TA00/2012/S0071

ISM041

SMCI

Verify that 10.2 & 10.3 are integrated into the ship's maintenance routine.

10.4 10.2 & 10.3 integrated into the ship's maintenance routine

WR

SR

NA

Documentation
ISM042 SMCI

Procedure to control all documents and data which are relevant to the SMS (copy of the SMS control page shall be attached).
ISM043 SMCI

11.1 SMS Documents and Data Control

WR

SR

NA

Verify that valid documents are available at all relevant locations.

ISM044 SMCI

11.2.1 Valid Documents available at all relevant locations

WR

SR

NA

Verify that changes of documents are reviewed and approved by authorised personnel.
ISM045 SMCI

11.2.2 Changes to documents treated by authorised personnel 11.2.3 Obsolete documents promptly removed

WR

SR

NA

WR

SR

NA

Verify that obsolete documents are promptly removed.

ISM046 SMCI

The documents used to describe and implement the SMS may be referred to as the Safety Management Manual. Relevant documentation shall be kept on board the ship.

11.3 Relevant documentation kept onboard the ship

WR

SR

NA

Company Verification, Review and Evaluation

ISM047B SMCI

Internal safety audits onboard and ashore performed to verify whether safety and pollution-prevention activities comply with the SMS in intervals not exceeding twelve months. Date [ ]
ISM048B SMCI

12.1 Internal Safety Audits of activities

WR

SR

NA

Periodical evaluation of its effectiveness and, when needed, revision of the SMS. Date [ ]
ISM049 SMCI

12.2 SMS Evaluation & Review

WR

SR

NA

Audits and corrective actions, in accordance with documented procedures.

ISM050 SMCI

12.3 Audits and CA

WR WR WR

SR SR SR

NA NA NA NA

Auditors shall be independent of the areas being audited (unless this is impracticable).
ISM051 SMCI

12.4 Independence of Auditors

Communication of audit results and reviews to all personnel having responsibility in the area involved.
ISM052 SMCI

12.5 Communication of audit results 12.6 Implementation of timely CA

Management takes timely corrective action on deficiencies found.

WR

SR



Certification and Verification

SMCI

Certification and Periodical Verification

ISM053

DOC (Document Of Compliance) is relevant to ship type and flag administration (copy attached to the report if DOC not issued by BV).
ISM054 SMCI

13.1 Document of Compliance (DOC) for relevant Ship Type 13.2 Issuing Authority and validity 13.3 Document of Compliance (DOC) Ship Types

WR

SR

NA

All periodical audits performed accordingly (in the company and on board the ship(s) ). Date [ ]
ISM055 SMCI

WR

SR

NA

Copy of the relevant DOC is on board (not needed to be authenticated or certified).

13.6 Copy of DOC on board (not required to be authenticated or certified)

WR

SR

NA

BUREAU VERITAS

Page 6/7

18/06/12

Reg: 15625L

HECTOR

Ref : TA00/2012/S0071



Specific Flag Requirements

SMCI

ISM056

A sample of specific Flag requirements complied with.

ISM103 SMCI

WR

SR

NA

Flag pre-authorisation granted (if required by the Administration). Yes No

WR

SR

NA

OPENING/CLOSING MEETINGS REPORT

MEETING OPENING CLOSING DATE Not set Not set Not set Not set PARTICIPANTS Not set Not set OBs

BUREAU VERITAS

Page 7/7

18/06/12