Step Change in Safety-Integra Bulk-Hose-Handling Guidance

ISM CODE AUDIT REPORT (COMPANY)
TAL0/2009/S0018
ISM Periodical Audit
PART 1 : SUMMARY
PART 2 : REPORT
PART 3 : NON-CONFORMITY SUMMARY (Form KS) & FORM(s) K
PART 4 : DOCUMENT REVIEW (Form A)
PART 5 : AUDIT PLAN (Form F)
PART 6 : APPENDICES
COMPANY NAME : UNITED MARINE

MANAGEMENT LTD.
Company BV Code : 61623
Company Address Marine Center : RTD0
Audit Unit : BV HELSINKI
DATES OF AUDIT Place of Audit : TALLINN

Start date : 02/06/2009
End date : 02/06/2009
Lead Auditor : Kuno Kivimaa CSOM : Ilkka Pelli
Auditor(s) : Observer(s) : I. Pelli
Report Validated Stamp

On : 06/06/2009
By : Ilkka Pelli
61623 UNITED MARINE MANAGEMENT LTD. Ref : TAL0/2009/S0018
PART 1 : SUMMARY
COMPANY CERTIFICATES
Certificate Certificate Expiry Date Flag Ship's Type(s) Certificate New Expiry
Type Issued or Date
Extended
DOC Definitive 14/03/2011 ANTIGUA AND Other cargo ship
BARBUDA
DOC Definitive 14/03/2011 ESTONIA Other cargo ship
AUDIT(S) PERFORMED
Code Audit Name - Audit Reason

DOCP ISM Periodical Audit
Note : The scope of the Initial & Renewal Audits includes each element of the ISM Code.
The scope of the Audit is to ensure that Auditor sampling basis covers each section of the ISM Code.
Lead Auditor Summary

Number of MNCs raised : 0
Number of MNCs downgraded : 0
Number of NCs raised : 1
Number of Observations raised : 1
Previous non-conformities cleared : Yes
Lead Auditor Recommendation(s)
DOCs have been endorsed for periodical audit on
Company Information
Company name : UNITED MARINE MANAGEMENT LTD.
Company Contact :
Company Head Office Address :
5 J. VILMSI
10152 TALLINN
PART 2 : REPORT
BUREAU VERITAS SHIPS IN SERVICE AUDIT REPORT

Marine Division The latest published Rules of Bureau Veritas Marine Division and
the General Conditions therein are applicable
Company Name : UNITED MARINE MANAGEMENT LTD. Reference : TAL0/2009/S0018

Company Country : ESTONIA Audit Date : 02/06/2009
Company Code : 61623
Audits
Code Name
DOCP ISM Periodical Audit
TABLE OF CONTENTS Page
1. DOCUMENT REVIEW ................................................................................................................ 4
2. AUDIT PLAN ........................................................................................................................................ 4
3. IMPLEMENTATION .................................................................................................................. 4
4. CERTIFICATION AND VERIFICATION ................................................................... 8
5. SPECIFIC FLAG REQUIREMENTS ............................................................................... 8
BUREAU VERITAS Page 3/17 12/06/09

1. Document Review
ISM001 DOCP • WR ❍ SR ❍
NA
SMS (Safety Management System) last revision checked against the one reviewed during last SMS review
(Form A not required).
Last Revision Company Manual rev.2

Date 05.05.2009
2. Audit Plan
NA
Date on which the ISM code audit plan was communicated to the Client and those involved in the audit :
[01.06.2009 ]
3. Implementation
General / Objections
ISM002 DOCP 1.2.2 Objectives of the Company • WR ❍ SR ❍
NA
Objectives of the Company provide for safety practices in ship operation and a safe working environment.
NA
Company objectives also establish safeguards against all identified risks.
NA Company objectives continuously improve safety management skills of personnel ashore and aboard
ships.
ISM005 DOCP 1.2.3.1 SMS Complies with Rules & • WR ❍ SR ❍
Regulations NA
SMS (Safety Management System) complies with mandatory rules & regulations.
ISM006 DOCP 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.
Safety and Environmental Protection Policy
ISM007 DOCP 2.1 Safety and environmental policy • WR ❍ SR ❍
NA 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.
NA
Company ensures that the policy is implemented and maintained at all levels of the organisation, both ship -
based and shore-based.
Company Responsibility and Authority

ISM009 DOCP 3.1 Identification of Responsible Operator • WR ❍ SR ❍
NA
Identification of responsible operator, if not the owner, reported to the Administration.
ISM010 DOCP 3.2 Responsibilities and Authorities of ISM011
Responsible Personnel
Definition of responsibilities, authorities and interrelations of responsible personnel.
OCP 3.3
Resources for • WR ❍ SR ❍
Designated Person NA
ensured
• WR ❍ SR ❍
NA
Resources and shore-based support are provided for the Designated Person(s) to carry out their functions.

Designated Person(s)
ISM012 DOCP 4 Designated Person • WR ❍ SR ❍
NA 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) [Capt. V. Malnev ]
Master s Responsibility and Authority

ISM013 DOCP 5.1.1 Implementation of safety and • WR ❍ SR ❍
environmental-protection Policy NA
Implementation of the safety and environmental-protection policy of the Company.
ISM014 DOCP 5.1.2 Motivation of Crew • WR ❍ SR ❍
NA
Motivation of crew in the observation of that policy.
ISM015 DOCP 5.1.3 Clear and Simple Orders • WR ❍ SR ❍
NA
Issuance of appropriate orders and instructions in a clear and simple manner.
ISM016 DOCP 5.1.4 Verification of Specific Requirements • WR ❍ SR ❍
NA
Verification that specific requirements are observed.
ISM017 DOCP 5.1.5 Review & Reports on S.M.S. are sent ❍ WR • SR
to the shore ❍ NA
Review of the SMS and reporting of its deficiencies to the shore-based management.
Remark made by the auditor
Several check-lists and reports with mostly similar information in use by captain for reporting to
the company. This may be confusing and inpracticable. Need for existing checklist no. 1,2 for
captain to be concidered. Obs. no.2 issued.
ISM018 DOCP 5.2 Masters Overriding Authority • WR ❍ SR ❍

NA
SMS contains a clear statement emphasising the master's authority.
Resources and Personnel

ISM019 DOCP 6.1.1 Masters Qualification • WR ❍ SR ❍
NA
Verify the Master's qualification.
ISM020 DOCP 6.1.2 Masters are conversant with SMS • WR ❍ SR ❍
NA
Verify that the Master is fully conversant with the SMS.
ISM021 DOCP 6.1.3 Masters are supported to perform their • WR ❍ SR ❍
duties NA
Verify that it is given the necessary support to the Master to perform his duties safely.
ISM022 DOCP 6.2 Crew qualification, certification and
medical fitness ❍ WR • SR
Verify the ship is manned with qualified, certified and medically fit seafarers. ❍ NA
A copy of the crew list and a list of all interviewed personnel shall be kept in local file along with the audit
report.
Special program used by crewing departement to follow crewmembers personal and certificate
datas.
ISM023 DOCP 6.3 New/Transferred Personnel • WR ❍ SR ❍

Familiarisation NA
New / transferred personnel to new assignments, related to safety and protection of the environment are
being familiarised with their duties.
ISM024 DOCP 6.4 Understanding Rules, Regulations,

des and Guidelines

• WR ❍ SR ❍
NA
All personnel involved in the SMS have an adequate understanding of relevant rules, regulations, codes
and guidelines.

ISM025 DOCP 6.5 Identification of Training Needs and • WR ❍ SR ❍

Training actions NA
Identification of training needs and confirmation that such training is provided.
ISM026 DOCP 6.6 Working language(s) for personnel's
information ❍ WR • SR
❍ NA
Personnel receive relevant information on the SMS in (a) working language(s) understood by them.
SMS in russian language and working language onboard vessels also russian.
ISM027 DOCP 6.7 Effective Communication between ship's • WR ❍ SR ❍

personnel (language) NA
Personnel are able to communicate effectively in the execution of their duties related to the SMS.
Development of Plans for Ship board Operations

NA
Preparation of plans and instructions for key shipboard operations. The various tasks are defined and
assigned to the qualified personnel.
Emergency preparedness
ISM029 DOCP 8.1 Identification, description and response • WR ❍ SR ❍
to emergency situations NA
Identification and description of potential emergency shipboard operations and response to these
emergency operations.
ISM030 DOCP 8.2 Emergency drills and exercices ❍ WR • SR
(ship/shore) ❍ NA
Programmes for emergency drills and exercises.
Last common drill carried out with mv "Gala" on 27.05.2009. Also Flag Administration A&B was
involved.
ISM031 DOCP 8.3 Company emergency response • WR ❍ SR ❍

measures 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 DOCP 9.1 Reporting, Investigation & Analysis of • WR ❍ SR ❍
NCs and hazardous occurrences NA
Reported to the Company, investigated & analysed with the objective of improving safety and pollution
prevention.
ISM033 DOCP 9.2 Corrective Action (CA) • WR ❍ SR ❍
NA
Implementation of corrective action.
Maintenance of the Ships and Equipment

NA
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).
ISM035 DOCP 10.2.1 Inspection at appropriate intervals • WR ❍ SR ❍
NA
Verify that inspection are held at appropriate intervals.
ISM036 DOCP 10.2.2 Reports of NC and its possible cause • WR ❍ SR ❍
NA
Verify that any non-conformity is reported.
ISM037 DOCP 10.2.3 Appropriate Corrective Action • WR ❍ SR ❍
NA
Verify appropriate Corrective Action is taken.
ISM038 DOCP 10.2.4 Records of these activities are
intained
• WR ❍ SR ❍
NA
Verify that records of these activities are maintained.

ISM039 DOCP 10.3 Critical Equipment and Systems • WR ❍ SR ❍

Identified / Measures to Promote Reliability NA
Identification of equipment and technical systems the sudden operational failure of which may result in
hazardous situation.
NA
SMS provides measures to promote reliability, including regular testing of standby arrangements and
equipment or technical system that are not in continuous use.
ISM041 DOCP 10.4 § 10.2 & 10.3 integrated into the ship's • WR ❍ SR ❍
maintenance routine NA
Verify that § 10.2 & 10.3 are integrated into the ship's maintenance routine.
Documentation
ISM042 DOCP 11.1 SMS Documents and Data Control • WR ❍ SR ❍
NA Procedure to control all documents and data which are relevant to the SMS (copy of the SMS control
page shall be attached).
ISM043 DOCP 11.2.1 Valid Documents available at all • WR ❍ SR ❍

relevant locations NA
Verify that valid documents are available at all relevant locations.
ISM044 DOCP 11.2.2 Changes to documents treated by

authorised personnel • WR ❍ SR ❍
Verify that changes of documents are reviewed and approved by authorised personnel. NA
ISM045 DOCP 11.2.3 Obsolete documents promptly

removed
• WR ❍ SR ❍
NA
Verify that obsolete documents are promptly removed.
ISM046 DOCP 11.3 Relevant documentation kept onboard • WR ❍ SR ❍
the ship NA
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.
Company Verification, Review and Evaluation

ISM047 DOCP 12.1 Internal Safety Audits of activities ❍ WR • SR ❍
NA Internal safety audits performed to verify whether safety and pollution-prevention activities comply with
the SMS.
Date [12.12.2008 ]
Internal audit procedure not fully followed. For example during last internal audit in company
NC-s and corrective actions not correctly recorded. NC no.1 issued.
ISM048 DOCP 12.2 SMS Evaluation & Review • WR ❍ SR ❍

NA
Periodical evaluation of its efficiency and, when needed, revision of the SMS.
Date [05.11.2008 ]
ISM049 DOCP 12.3 Audits and CA • WR ❍ SR ❍
NA
Audits and corrective actions, in accordance with documented procedures.
ISM050 DOCP 12.4 Independence of Auditors • WR ❍ SR ❍
NA
Auditors shall be independent of the areas being audited (unless this is impracticable).
BUREAU VERITAS Page 12/06/09
10/17
ISM051 DOCP 12.5 Communication of audit results • WR ❍ SR ❍

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

11/17
ISM052 DOCP 12.6 Implementation of timely CA • WR ❍ SR ❍

NA
Management takes timely corrective action on deficiencies found.
4. Certification and Verification
Certification and Periodical Verification

NA
All periodical audits performed accordingly (in the company and on board the ship(s) ).
Date [12.06.2008 ]
5. Specific Flag Requirements

ISM056 DOCP ❍ WR • SR ❍
NA
A sample of specific Flag requirements complied with (as per TNS 18 and any other instructions).

Flag - Antigua & Barbuda.
OPENING/CLOSING MEETINGS REPORT
MEETING DATE PARTICIPANTS OBs

OPENING 02.06.2009 DP, Technical Manager, Fleet Manager I. Pelli
CLOSING 02.06.2009 DP, Technical Manager, Fleet Manager I. Pelli

12/17
PART 3 : SUMMARY of Non-Conformity & Form(s) K
ISM CODE Non-Conformity Summary (Form KS)
Job No TAL0/2009/S0018 Date 02/06/2009

Name of Company UNITED MARINE MANAGEMENT LTD.
Country of Company ESTONIA
Audit Description
Audit Type ISM Periodical Audit Audit Date 02/06/2009
Lead Auditor / Auditor Kuno Kivimaa Audit Unit BV HELSINKI
Form K Grade ISM Code Status* Limit date Cleared Cleared by

Consecutive (MNC, NC, reference date
No O)
1 NC 12.1 01/09/2009
2 O 5.1.5
(*Status : D means "MNC downgraded", U means "NC upgraded")
All raised Non-Conformities will be cleared by a BV auditor during next audit, based on the actions taken by the company within
the agreed limit date

13/17
ISM CODE Non-Conformity Report (Form K)
The Company should note that the assessment is based upon a sampling process.
The identification of this non-conformity does not imply that others do not exist.
Job No TAL0/2009/S0018 Date 02/06/2009

Form K consecutive No 1
Description Internal audit procedure not properly followed. For example during internal
audit in company NC-s and corrective actions not correctly recorded.
Grade : ❍ Major non-conformity • Non-conformity ❍ Observation
ISM Code Ref 12.1
Other Reference QP-04
Audit Comments
Proposed limit date 01/09/2009
Proposed corrective action Procedures for internal audit to be followed and responsible persons
instructed, if needed.
Lead Auditor / Auditor Kuno Kivimaa
(name & signature)
Company Representative Capt. V.Malnev
(name & signature)
Action ❍ Major non-conformity downgraded ❍ Non-conformity cleared Non-conformity upgraded

Date of action
Date objective evidence taken
Action taken by the Company
Remarks
Lead Auditor / Auditor
(name & signature)
Date
COMMENTS :


Job No TAL0/2009/S0018 Date 02/06/2009

Description Several forms and reports with similar information used by capten for
reporting to the company. Need for existing checklist no. 1,2 for capten to be
concidered.
Grade : ❍ Major non-conformity ❍ Non-conformity • Observation
ISM Code Ref 5.1.5

Other Reference
Audit Comments
Proposed limit date
Proposed corrective action
(name & signature)
Company Representative Capt. V.Malnev
(name & signature)
Action ❍ Major non-conformity downgraded ❍ Non-conformity cleared Non-conformity upgraded

Date of action
Date objective evidence taken
Action taken by the Company
Remarks
Lead Auditor / Auditor
(name & signature)
Date
COMMENTS :

ISM CODE Non-Conformity Summary (Form KS)
Job No TAL0/2008/S0023 Date 02/06/2009

Country of Company ESTONIA
Form K Grade ISM Code Status* Limit date Cleared Cleared by

Consecutive (MNC, NC, reference date
No O)
1 NC 11.1 12/09/2008 02/06/2009 Kuno Kivimaa
(*Status : D means "MNC downgraded", U means "NC upgraded")
All raised Non-Conformities will be cleared by a BV auditor during next audit, based on the actions taken by the company within
the agreed limit date

Job No TAL0/2008/S0023 Date 12/06/2008

Description Document control and revision numbers not according to the Code.
Grade : ❍ Major non-conformity • Non-conformity ❍ Observation
ISM Code Ref 11.1
Other Reference
Audit Comments
Proposed limit date 12/09/2008
Proposed corrective action Document control and revisions to be updated and relevant procedures
reviewed and corrected as found necessary.
(name & signature)
Company Representative V. Malnev
(name & signature)
Action ❍ Major non-conformity downgraded • Non-conformity cleared Non-conformity upgraded

Date of action 02/06/2009
Date objective evidence taken 02/06/2009
Action taken by the Company Document control procedures reviewed and corrected accordingly.
Remarks
(name & signature)
Date
COMMENTS :

PART 4 : DOCUMENT REVIEW (Form A)
Not applicable

PART 5 : AUDIT PLAN (Form F)
Job No TAL0/2009/S0018 Date 02/06/2009

Type of audit ISM Periodical Audit

Location(s) of audit TALLINN
Proposed date of audit 02/06/2009
Name of Lead Auditor Kuno Kivimaa
Name of Auditor(s), if any
Name of Observer(s), if any I. Pelli
Audit language Russian/English
Date/Time Department/Area to be audited Interviews - Person(s) having direct

responsabilities regarding the SMS
02.06.2009 Opening Meeting DP, Technical Manager, Fleet
Manager
02.06.2009 Self-familiarisation with the SMS DP
Manual
02.06.2009 Policies, Objectives, Commitment DP
02.06.2009 Organization, Resources DP, Fleet Manager
02.06.2009 Authority, Responsibilities, Tasks DP
02.06.2009 SMS documentation, Document DP
Control
02.06.2009 Valid Documents, Publications, DP
Rules
02.06.2009 Designated Person DP
02.06.2009 Masters overriding authority DP
02.06.2009 Masters qualification DP, Other (Crewing)
02.06.2009 Officers / Crew Certification DP, Other (Crewing)
02.06.2009 Familiarization / Training DP, Other (Crewing)
02.06.2009 Working Language DP
02.06.2009 Evaluation / Training Needs DP, Other (Crewing)
02.06.2009 Shipboard Operations - Bridge DP, Fleet Manager
02.06.2009 Shipboard Operations - Deck DP, Fleet Manager
02.06.2009 Shipboard Operations - Cargo Fleet Manager
02.06.2009 Shipboard Operations - Engine Technical Manager
02.06.2009 Emergency Preparedness / Drills DP, Fleet Manager
02.06.2009 Maintenance Routine - Deck / Technical Manager
Navig.
02.06.2009 Maintenance Routine - LSA / FFA Technical Manager
02.06.2009 Maintenance Routine - Engines Technical Manager
02.06.2009 Reporting from Vessels DP, Fleet Manager
02.06.2009 Masters Review DP, Fleet Manager
02.06.2009 Accident / Incident / Near Miss / DP, Fleet Manager
NCs
02.06.2009 Investigation / Analysis / Corr. DP, Technical Manager, Fleet
Action Manager

Date/Time Department/Area to be audited Interviews - Person(s) having direct

responsabilities regarding the SMS
02.06.2009 Audits, Company Review DP
02.06.2009 Closing Meeting DP, Technical Manager, Fleet
Manager

PART 6 : APPENDICES
LIST OF DOCUMENTS ATTACHED TO

JOB NUMBER TAL0/2009/S0018
Request for audit

Endorced DOC
Issued NC-s
End of List

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ISM CODE AUDIT REPORT (COMPANY)

ISM Periodical Audit

COMPANY NAME : UNITED MARINE

DATES OF AUDIT Place of Audit : TALLINN

Auditor(s) : Observer(s) : I. Pelli

Report Validated Stamp

Code Audit Name - Audit Reason

Lead Auditor Summary

BUREAU VERITAS SHIPS IN SERVICE AUDIT REPORT

Company Name : UNITED MARINE MANAGEMENT LTD. Reference : TAL0/2009/S0018

TABLE OF CONTENTS Page

1. DOCUMENT REVIEW ................................................................................................................ 4

2. AUDIT PLAN ........................................................................................................................................ 4

4. CERTIFICATION AND VERIFICATION ................................................................... 8

5. SPECIFIC FLAG REQUIREMENTS ............................................................................... 8

BUREAU VERITAS Page 3/17 12/06/09

Last Revision Company Manual rev.2

Company Responsibility and Authority

BUREAU VERITAS Page 5/17 12/06/09

Master s Responsibility and Authority

ISM018 DOCP 5.2 Masters Overriding Authority • WR ❍ SR ❍

Resources and Personnel

ISM023 DOCP 6.3 New/Transferred Personnel • WR ❍ SR ❍

BUREAU VERITAS Page 6/17 12/06/09

des and Guidelines

BUREAU VERITAS Page 7/17 12/06/09

ISM025 DOCP 6.5 Identification of Training Needs and • WR ❍ SR ❍

ISM027 DOCP 6.7 Effective Communication between ship's • WR ❍ SR ❍

Development of Plans for Ship board Operations

ISM031 DOCP 8.3 Company emergency response • WR ❍ SR ❍

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

Maintenance of the Ships and Equipment

BUREAU VERITAS Page 9/17 12/06/09

ISM039 DOCP 10.3 Critical Equipment and Systems • WR ❍ SR ❍

ISM043 DOCP 11.2.1 Valid Documents available at all • WR ❍ SR ❍

ISM044 DOCP 11.2.2 Changes to documents treated by

ISM045 DOCP 11.2.3 Obsolete documents promptly

Company Verification, Review and Evaluation

ISM048 DOCP 12.2 SMS Evaluation & Review • WR ❍ SR ❍

ISM051 DOCP 12.5 Communication of audit results • WR ❍ SR ❍

BUREAU VERITAS Page 12/06/09

ISM052 DOCP 12.6 Implementation of timely CA • WR ❍ SR ❍

4. Certification and Verification

Certification and Periodical Verification

5. Specific Flag Requirements

Remark made by the auditor

OPENING/CLOSING MEETINGS REPORT

MEETING DATE PARTICIPANTS OBs

BUREAU VERITAS Page 12/06/09

PART 3 : SUMMARY of Non-Conformity & Form(s) K

ISM CODE Non-Conformity Summary (Form KS)

Job No TAL0/2009/S0018 Date 02/06/2009

Form K Grade ISM Code Status* Limit date Cleared Cleared by

(*Status : D means "MNC downgraded", U means "NC upgraded")

BUREAU VERITAS Page 12/06/09

ISM CODE Non-Conformity Report (Form K)

Job No TAL0/2009/S0018 Date 02/06/2009

Action ❍ Major non-conformity downgraded ❍ Non-conformity cleared Non-conformity upgraded

BUREAU VERITAS Page 10/17 12/06/09

ISM CODE Non-Conformity Report (Form K)

Job No TAL0/2009/S0018 Date 02/06/2009

ISM Code Ref 5.1.5

Action ❍ Major non-conformity downgraded ❍ Non-conformity cleared Non-conformity upgraded