Checklist Audit report item checklist
Reg: 15625L
HECTOR
BUREAU VERITAS Marine Division
Ref : TA00/2012/S0071
SHIPS IN SERVICE AUDIT REPORT
The latest published Rules of Bureau Veritas Marine Division and the General Conditions therein are applicable
Register No : 15625L Ship Name : HECTOR
Reference : TA00/2012/S0071 Audit Date : 18/06/2012
Audits Code
Name
SMCI
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
ISM001
WR
SR
NA
WR
SR
NA
1.2.2 Objectives of the Company
WR
SR
NA
1.2.2 Objectives of the Company
WR
SR
NA
1.2.2 Objectives of the Company
WR
SR
NA
1.2.3.1 SMS Complies with Rules & Regulations
WR
SR
NA
1.2.3.1 SMS Complies with Rules & Regulations
WR
1.2.3.1 SMS Complies with Rules & Regulations
WR
SMCI
SMM (Safety Management Manual) last revision checked. Last Revision Date
Audit Plan
ISM063
SMCI
Date on which the ISM code audit plan was communicated to the Client and those involved in the audit : [16/06/2012 ]
Implementation
General / Objectives ISM002B
SMCI
Objectives of the Company : Assess all identified risks to its ships, personnel and the environment. ISM003
SMCI
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
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
SR
NA
SMS ensures that recommended applicable codes, guidelines and standards are taken into account.
Safety and Environmental Protection Policy ISM007
WR
SR
NA
WR
SR
NA
3.1 Identification of Responsible Operator
WR
SR
NA
3.2 Responsibilities and Authorities of Responsible Personnel
WR
SR
NA
2.1 Safety and environmental policy
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
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
SMCI
Identification of responsible operator, if not the owner, reported to the Administration. ISM010
SMCI
Definition of responsibilities, authorities and interrelations of responsible personnel.
BUREAU VERITAS
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18/06/12
Reg: 15625L
ISM011
HECTOR
Ref : TA00/2012/S0071
3.3 Resources for Designated Person ensured
WR
4 Designated Person
WR
SR
NA
5.1.1 Implementation of safety and environmental-protection Policy
WR
SR
NA
5.1.2 Motivation of Crew
WR
SR
NA
5.1.3 Clear and Simple Orders
WR
SR
NA
5.1.4 Verification of Specific Requirements
WR
SR
NA
5.1.5 Review & Reports on S.M.S. are sent to the shore
WR
SR
NA
5.2 Masters Overriding Authority
WR
SR
NA
6.1.1 Masters Qualification
WR
SR
NA
6.1.2 Masters are conversant with SMS
WR
SR
NA
6.1.3 Masters are supported to perform their duties
WR
SR
NA
6.2 Crew qualification, certification and medical fitness
WR
SR
NA
SR
NA
SMCI
SR
NA
Resources and shore-based support are provided for the Designated Person(s) to carry out their functions.
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) [ ]
Master s Responsibility and Authority ISM013
SMCI
Implementation of the safety and environmental-protection policy of the Company. ISM014
SMCI
Motivation of crew in the observation of that policy. ISM015
SMCI
Issuance of appropriate orders and instructions in a clear and simple manner. ISM016
SMCI
Verification that specific requirements are observed. ISM017B
SMCI
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.
Resources and Personnel ISM019
SMCI
Verify the Master's qualification. ISM020
SMCI
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
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
6.3 New/Transferred Personnel Familiarisation
WR
6.4 Understanding Rules, Regulations, Codes and Guidelines
WR
6.5 Identification of Training Needs and Training actions
WR
SR
NA
6.6 Working language(s) for personnel's information
WR
SR
NA
6.7 Effective Communication between ship's personnel (language)
WR
SMCI
New / transferred personnel to new assignments, related to safety and protection of the environment are being familiarised with their duties. ISM024
SMCI
SR
NA
All personnel involved in the SMS have an adequate understanding of relevant rules, regulations, codes and guidelines. ISM025
SMCI
Identification of training needs and confirmation that such training is provided. ISM026
SMCI
Personnel receive relevant information on the SMS in (a) working language(s) understood by them. ISM027
SMCI
SR
Personnel are able to communicate effectively in the execution of their duties related to the SMS.
Shipboard Operations
BUREAU VERITAS
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18/06/12
NA
Reg: 15625L
ISM028B
HECTOR
Ref : TA00/2012/S0071
WR
SR
NA
8.1 Identification, description and response to emergency situations
WR
SR
NA
8.2 Emergency drills and exercices (ship/shore)
WR
SR
NA
8.3 Company emergency response measures
WR
SR
NA
SMCI
Preparation of procedures, plans and instructions for key shipboard operations. The various tasks are defined and assigned to the qualified personnel.
Emergency preparedness ISM029B
SMCI
Identification of potential emergency shipboard operations and response to these emergency operations. ISM030
SMCI
Programmes for emergency drills and exercises. ISM031
SMCI
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
9.1 Reporting, Investigation & Analysis of NCs and hazardous occurrences
WR
SR
NA
9.2 Corrective Action (CA)
WR
SR
NA
9.1 Reporting, Investigation & Analysis of NCs and hazardous occurrences
WR
SR
NA
Reported to the Company, investigated & analysed with the objective of improving safety and pollution prevention, including near misses. ISM033
SMCI
Implementation of corrective action. ISM104
SMCI
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
10.1 Maintenance in Conformity with Relevant Rules, Regulations and any additional requirements from the Company
WR
SR
NA
10.4 § 10.2 & 10.3 integrated into the ship's maintenance routine
WR
10.2.1 Inspection at appropriate intervals
WR
SR
NA
10.2.2 Reports of NC and its possible cause
WR
SR
NA
10.2.3 Appropriate Corrective Action
WR
SR
NA
10.2.4 Records of these activities are maintained
WR
SR
NA
10.3 Critical Equipment and Systems Identified / Measures to Promote Reliability
WR
SR
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). ISM034B
SMCI
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
Verify that inspection are held at appropriate intervals. ISM036
SMCI
Verify that any non-conformity is reported. ISM037
SMCI
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
WR
SMCI
SR
SMS provides measures to promote reliability, including regular testing of standby arrangements and equipment or technical system that are not in continuous use.
BUREAU VERITAS
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18/06/12
NA
Reg: 15625L
ISM041
HECTOR
SMCI
Ref : TA00/2012/S0071
10.4 § 10.2 & 10.3 integrated into the ship's maintenance routine
WR
SR
NA
11.1 SMS Documents and Data Control
WR
SR
NA
11.2.1 Valid Documents available at all relevant locations
WR
SR
NA
11.2.2 Changes to documents treated by authorised personnel
WR
SR
NA
11.2.3 Obsolete documents promptly removed
WR
SR
NA
11.3 Relevant documentation kept onboard the ship
WR
SR
NA
Verify that § 10.2 & 10.3 are integrated into the ship's maintenance routine.
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
Verify that valid documents are available at all relevant locations. ISM044
SMCI
Verify that changes of documents are reviewed and approved by authorised personnel. ISM045
SMCI
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.
Company Verification, Review and Evaluation ISM047B
SMCI
12.1 Internal Safety Audits of activities
WR
SR
NA
12.2 SMS Evaluation & Review
WR
SR
NA
12.3 Audits and CA
WR
SR
NA
12.4 Independence of Auditors
WR
SR
NA
12.5 Communication of audit results
WR
SR
NA
12.6 Implementation of timely CA
WR
SR
NA
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
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
Periodical evaluation of its effectiveness and, when needed, revision of the SMS. Date [ ] ISM049
SMCI
Audits and corrective actions, in accordance with documented procedures. ISM050
SMCI
Auditors shall be independent of the areas being audited (unless this is impracticable). ISM051
SMCI
Communication of audit results and reviews to all personnel having responsibility in the area involved. ISM052
SMCI
Management takes timely corrective action on deficiencies found.
Certification and Verification
Certification and Periodical Verification ISM053
SMCI
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
All periodical audits performed accordingly (in the company and on board the ship(s) ). Date [ ] ISM055
SMCI
13.6 Copy of DOC on board (not required to be authenticated or certified)
WR
SR
NA
WR
SR
NA
Copy of the relevant DOC is on board (not needed to be authenticated or certified).
BUREAU VERITAS
Page 6/7
18/06/12
Reg: 15625L
HECTOR
Ref : TA00/2012/S0071
Specific Flag Requirements
ISM056
SMCI
A sample of specific Flag requirements complied with. ISM103
SMCI
Flag pre-authorisation granted (if required by the Administration). Yes No
WR
SR
NA
WR
SR
NA
OPENING/CLOSING MEETINGS REPORT MEETING OPENING CLOSING
DATE Not set Not set
BUREAU VERITAS
Not set Not set
PARTICIPANTS
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OBs
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