ISM-SMC CHECKLIST - INITIAL AND OTHER



|[pic] |COOK ISLANDS |Ship Registration |

| |ONBOARD |Survey Form |

| |ISM AUDIT REPORT |82D v.2 |

Type of Audit/Certificate

| Initial | Renewal | Intermediate Survey | Additional |

Particulars of ship

|Name of Ship |Distinctive Number or Letters |Port of Registry |Gross |

| | | |Tonnage |

|      |      |      |      |

| | | | |

|IMO Number |Type of Ship |Deadweight of ship (metric tons) |Year of Build |

|      |      |      |      |

|Company name on DOC |      |

|Name of lead auditor |      |

|No. of N-C’s |      |No. of major N-C’s |      |No. of Observations |      |

|See individual N-C’s for details. |

|THIS AUDIT WAS CARRIED OUT IN ACCORDANCE WITH THE REQUIREMENTS OF THE ISM CODE, BUT ON BASIS OF SAMPLING METHOD. THEREFORE IT MUST NOT BE |

|ASSUMED THAT NON-CONFORMITIES OTHER THAN THOSE IDENTIFIED DO NOT EXIST. |

| | |

|SMC was issued. Valid until: |SMC was endorsed on : |

|Signature and Seal of authorised CI Auditor | |Date |      |

| |

|Name of Auditor (printed) |       |

|Port |       |

NCs and Observations received by:___________________________________

|Signature | |Date |      |

| |

|Name (printed) |      |

|Title / Rank |      |

|Audit Interview List |

|Name |Rank | |

|      |      | |

|      |      | |

|      |      | |

|      |      | |

|ISM Ref | |Yes |No |Rem |

|1.0 |MANAGEMENT RESPONSIBILITY |

|2.0 |SAFETY AND ENVIRONMENTAL PROTECTION POLICY |

|2.2 |Policy Implementation |

|2.2.1 |The Company has ensured that the policy is implemented and maintained at all levels of the | | | |

| |organization on board. | | | |

|2.2.2 |The shipboard personnel are given adequate information on the strategy | | | |

|2.2.3 |The policy is posted in appropriate locations. | | | |

|2.2.4 |There are written proof that the crew has been informed of the policy | | | |

|3.0 |COMPANY RESPONSIBILITIES AND AUTHORITY |

|4.0 |DESIGNATED PERSON (S) |

|4.1 |Name of Designated Person(s):       | | | |

|4.2 |The Master and the senior Officers are aware of the name(s) of the Company’s Designated Person(s) | | | |

|4.3 |Written communication between the ship and the DPA(s) are available | | | |

|4.4 |The updated telephone numbers of the DPA(s) and their back up are available to the interested | | | |

| |persons onboard | | | |

|4.5 |The results of safety and antipollution audits and inspections are reported to the DPA(s) | | | |

|5.0 |MASTER’S RESPONSIBILITY AND AUTHORITY |

|5.1 |Master’s Responsibility |

|5.1.1 |The Company has defined and documented the master's responsibilities for the following; |

|5.1.1.1 |-Implementation of the safety and environmental protection policy | | | |

|5.1.1.2 |-Motivating the crew in the SMS | | | |

|5.1.1.3 |-Issuing orders /instructions in relation to the SMS | | | |

|5.1.1.4 |-Verifying that specified requirements are observed in the operation of the SMS | | | |

|5.1.1.5 |-Reviewing the SMS and reporting deficiencies to shore based management | | | |

|5.2 |The Master Standing Orders are signed by master and posted on the bridge | | | |

|5.3 |Master’s Authority |

|5.3.1 |The Company’s statement that the master has overriding authority and responsibility for safety and | | | |

| |pollution prevention can be shown by the master | | | |

|6.0 |RESOURCES AND PERSONNEL |

|6.1 |Master – Qualification and Competence |

|6.1.1 |The Company has ensured that the master is made fully conversant with the SMS | | | |

|6.1.2 |Procedure exist for the change of command and are documented | | | |

|6.2 |Manning |

|6.2.1 |Crew’s qualification certificates available | | | |

|6.2.2 |Crew’s medical certificates available | | | |

|6.2.3 |Officers’ endorsement certificates, or acknowledgement, from Flag State available | | | |

|6.2.4 |The crew-list is available and the ship is manned as per the safe manning certificate | | | |

|6.2.5 |Full contact details to crew’s next of kin available? | | | |

|6.2.6 |Drug and Alcohol procedures are available, if applicable | | | |

|6.2.7 |All crew-members are aware of Drug and Alcohol Policy | | | |

|6.2.8 |Drug and Alcohol tests carried out on board, if required | | | |

|6.2.9 |The watch-keeping personnel is provided with at least the minimum rest periods as prescribed by the | | | |

| |STCW Code | | | |

|6.2.10 |Watch schedules are posted where they are easily accessible | | | |

|ISM Ref | |Yes |No |Rem |

|6.3 |Familiarization |

|6.3.1 |The Company has established procedures to ensure that all new personnel and personnel transferred to| | | |

| |new assignments are given proper familiarization on with the ship, the safety and their duties | | | |

| |before assigned to such duties | | | |

|6.3.2 |Records are available for each individual on board | | | |

|6.3.3 |The specific instructions to be delivered before sailing are identified. | | | |

| |The first instruction should ensure that all personnel are able to understand safety information, | | | |

| |symbols, signs and alarm signals, know what to do in event of man overboard, detection of fire or | | | |

| |smoke, abandon ship alarm, identify muster stations and emergency escape routes, locate and don | | | |

| |lifejackets, raise the alarm and have knowledge of portable fire extinguisher, close and open fire | | | |

| |and watertight doors. All introduction and familiarization training in accordance with Section A-I/6| | | |

| |of the STCW Code and SOLAS Ch. III Reg. 19 Par 2.1 | | | |

|6.3.4 |Questionnaire or forms for the familiarisation of officers and crew members, duly | | | |

| |completed, are available | | | |

|6.3.5 |Sufficient time has been allowed for the familiarisation, which was carried out in a language | | | |

| |understood by the crew member | | | |

|6.3.6 |All forms are signed by supervising officer and crew as appropriate | | | |

|6.3.7 |The task of familiarisation supervision is assigned to specific officer(s) | | | |

|6.3.8 |The Officers have knowledge of regulations pertinent to their duties and they are able to find those| | | |

| |regulations | | | |

|6.3.9 |All crew-members have completed familiarization in required time and this is properly documented. | | | |

|6.4 |Personnel’s SMS knowledge |

|6.4.1 |The Company has ensured that all personnel have adequate understanding of relevant rules, | | | |

| |regulations, codes and guidance that relate to safety and environmental protection? (Check how this | | | |

| |is done on board?) | | | |

|6.5 |Training |

|6.5.1 |The Company has ensured that training is provided for all personnel with responsibilities within the| | | |

| |SMS (SOLAS Ch. III Reg. 10 Par 4) | | | |

|6.5.2 |The training for each individual is documented | | | |

|6.5.3 |The in-service training is conducted according to an approved training program | | | |

|6.5.4 |In case of oil tanker, chemical tanker, liquefied gas carriers, the senior personnel have special | | | |

| |familiarisation training as required; the relevant evidence (course | | | |

| |diplomas or similar) is available | | | |

|6.5.5 |In case of passenger ships, the personnel who have emergency duties in assisting passengers have | | | |

| |completed the training in crowd management and safety (including awareness of life saving and | | | |

| |control plans, assisting passengers to muster and embarkation stations, mustering procedures); the | | | |

| |relevant evidence | | | |

| |(course diplomas or similar) is available | | | |

|6.5.6 |In case of passenger ships, the officers have completed the technical training on cargo safety and | | | |

| |hull integrity; the relevant evidence (course diplomas or | | | |

| |similar) is available | | | |

|6.5.7 |In case of passenger ships, those providing direct service to passengers have completed the safety | | | |

| |training; those with duties in embarking /disembarking have completed the passenger safety training.| | | |

| |Finally, those with responsibilities for safety of passengers in an emergency have completed the | | | |

| |crisis management and human behaviour training (this last requirement may not be applicable before 1| | | |

| |August 1998); the relevant evidence (course diplomas or similar) is available | | | |

|6.5.8 |All forms are signed by supervising officer | | | |

|6.5.9 |The task of familiarisation supervision is assigned to specific officer(s) | | | |

|6.5.10 |Appraisal forms for crew-members are used | | | |

|6.5.11 |All crew-members have completed training in required time and this is properly | | | |

| |documented. | | | |

|6.6 |Information on the SMS |

|6.6.1 |Procedures and instructions on the SMS written in a language(s) and manner that is understood by | | | |

| |shipboard staff that has specific functional responsibilities in the SMS | | | |

|6.6.2 |Documentation available that all crew members have been properly informed on the SMS | | | |

|6.7 |Communications |

|6.7.1 |A common shipboard working language has been established by the Company | | | |

| |This is:       | | | |

|ISM | |Yes |No |Rem |

|Ref | | | | |

|6.7.2 |Crew members can communicate effectively with each other in the conduct of normal duties and in | | | |

| |emergencies | | | |

|6.7.3 |Master and navigating officers are competent in English “typical expressions” | | | |

|7.0 |PLANS FOR SHIPBOARD OPERATIONS |

|7.1 |General |

|7.1.1 |Shipboard organization is clearly described | | | |

|7.1.2 |Domestic (accommodation, galley..), Hygiene inspections are conducted to ensure that acceptable | | | |

| |standards are maintained | | | |

|7.1.3 |Procedures for carrying out ballast operations in place and used | | | |

|7.1.4 |Procedures to control activities which have been identified as having increased risk, permit to work| | | |

| |procedure etc, are in place and used | | | |

|7.1.5 |Arrangement for the provision and maintenance of medical and first aid facilities on board is in use| | | |

|7.1.6 |Safety committee system in use and documented | | | |

|7.1.7 |Procedure for controlling the working hours of all shipboard personnel in use | | | |

|7.1.8 |All personnel are wearing safety equipment when and where required | | | |

|7.1.9 |The Chief Engineer’s Standing Orders are signed by c/e and posted in engine room and cc to the | | | |

| |Master, DPA | | | |

|7.2 |SHIP IN PORT |

|7.2.1 |Stowage plan made | | | |

|7.2.2 |Stability calculations made prior to commencement of loading | | | |

|7.2.3 |System with harbour watches and patrols in place/used | | | |

|7.2.4 |Trim, list and stability conditions are monitored on a regular basis | | | |

|7.2.5 |Adequate precautions are taken against accidental spillage onboard the vessel | | | |

|7.2.6 |Disposal of oil, noxious liquids is recorded | | | |

|7.2.7 |Oil record book is up to date | | | |

|7.2.8 |Garbage record book is up to date | | | |

|7.2.9 |The access to and from the vessel is in compliance with the requirements | | | |

|7.2.10 |Authorised visitors on board are logged | | | |

|7.2.11 |Gangway is properly rigged and lighted | | | |

|7.2.12 |A lifebuoy with lifeline is fitted near the gangway | | | |

|7.2.13 |A fire plan is located at the gangway or outside the entrance to the | | | |

| |Accommodation | | | |

|7.2.14 |Sufficient crew are on board at all times to attend moorings | | | |

|7.2.15 |A port Log is maintained recording all port activities | | | |

|7.3 |PREPARING FOR SEA |

|7.3.1 |Draughts prior to sailing are recorded | | | |

|7.3.2 |Stability condition of the vessel prior to sailing is recorded | | | |

|7.3.3 |Assessing weather conditions prior to sailing is recorded | | | |

|7.3.4 |Passage planning is recorded | | | |

|7.3.5 |Securing cargo, hatches and hull openings before proceeding to sea are recorded | | | |

|7.3.6 |Pre-sailing functional checks of engines, steering gear, navigation and communications equipment, | | | |

| |generators, emergency lighting and anchoring equipment are recorded | | | |

|7.3.7 |The latest radio Navigation Warnings and local area Weather Reports are available | | | |

|7.3.8 |The ship’s manoeuvring characteristics are displayed on the bridge | | | |

|7.3.9 |The auto/manual steering changeover procedure is displayed on the bridge | | | |

|7.3.10 |The Pilot information card is available and is used | | | |

|7.3.11 |Stowaway search is conducted and results records | | | |

|ISM Ref | |Yes |No |Rem |

|7.4 |THE SHIP AT SEA |

|7.4.1 |Procedures for the bridge and engine room watch-keeping in use | | | |

|7.4.2 |Procedure for special arrangements for bad weather and fog in use | | | |

|7.4.3 |Procedures for security patrols, fire patrols and other arrangements for surveillance in use | | | |

|7.4.4 |Discharge into the sea of oily water from machinery space bilges, cargo residues from oil tankers, | | | |

| |noxious liquids and garbage is recorded | | | |

|7.5 |PREPARING FOR ARRIVAL IN PORT |

|7.5.1 |Function tests of all critical equipment prior to arrival in port (tests of engines, steering gear, | | | |

| |navigation and communications equipment, generators and anchoring equipment) is documented | | | |

|7.5.2 |Procedures for pilotage in use | | | |

|7.5.3 |Procedures for obtaining port information and attending to communications with port authorities in | | | |

| |use | | | |

|8.0 |EMERGENCY PREPAREDNESS |

|8.1 |Shipboard Contingency Plans |

|8.1.1 |Shipboard contingency plans include at least: |

|8.1.2 |-Allocation of duties and responsibilities | | | |

|8.1.3 |-Actions to be taken to regain control of a situation | | | |

|8.1.4 |-Communication methods to be used on board | | | |

|8.1.5 |-Procedures for requesting assistance from third parties | | | |

|8.1.6 |-Procedures for notifying the company and reporting to relevant authorities | | | |

|8.1.7 |-Maintaining communications between the ship and shore | | | |

|8.1.8 |-Procedures for dealing with the media or other outside parties | | | |

|8.2 |Emergency Actions |

|8.2.1 |The procedures give guidance to the master on dealing with the following broad range of possible emergency situations : |

|8.2.1.1 |-Shipboard fires / explosions etc | | | |

|8.2.1.2 |-Emergency evacuation and abandonment | | | |

|8.2.1.3 |-Flooding | | | |

|8.2.1.4 |-Severe weather / weather damage | | | |

|8.2.1.5 |-Collision | | | |

|8.2.1.6 |-Structural failure | | | |

|8.2.1.7 |-Main engine failure | | | |

|8.2.1.8 |-Steering gear failure | | | |

|8.2.1.9 |-Electrical failure / DG failure / blackout | | | |

|8.2.1.10 |-Grounding / stranding | | | |

|8.2.1.11 |-Cargo shift | | | |

|8.2.1.12 |- Pollution aspects as per SOPEP/SMPEP | | | |

|8.2.1.13 |-Serious illness/injury/fatality | | | |

|8.2.1.14 |-Man overboard / offshore search and rescue | | | |

|8.2.1.15 |-Terrorism / piracy / armed robbery | | | |

|8.2.1.16 |-Casualty handling in general | | | |

|8.2.1.17 |-Helicopter operations if applicable | | | |

|8.2.2 |Approved and updated SOPEP on board. SOPEP /SMPEP drills every 3 months /initial follow up reports | | | |

| |for each drill | | | |

|8.2.3 |SOLAS Training Manual is up-to-date and distributed correctly | | | |

|8.2.4 |Emergency drills and exercises are held at intervals as per drill/ exercise programme in place. | | | |

| |Attached drill / exercise programme | | | |

|8.2.5 |Results of shipboard emergency drills and exercises are evaluated and the effectiveness of the | | | |

| |procedures determined | | | |

|8.2.6 |The drills and emergencies involve the company’s shore based contingency organization | | | |

|8.2.7 |All drills and exercises are properly recorded | | | |

|8.2.8 |Is the Drill/exercise programme accepted | | | |

|8.2.9 |Meeting minutes available. Date of last safety committee meeting:       | | | |

|8.2.10 |Muster lists Approved / Emergency Instructions are updated in the SMM | | | |

|8.2.11 |Procedures in place for establishing and maintaining contact with shore | | | |

| |management in an emergency | | | |

|8.2.12 |Identified RISKS | | | |

|8.2.13 |Risk assessment performed ? | | | |

|8.2.14 |Actions after risk assessment ? | | | |

|ISM Ref | |Yes |No |Rem |

| |REPORTS AND ANALYSIS OF NON - CONFORMITIES, ACCIDENTS AND HAZARDOUS OCCURRENCES-- |

|9.0 | |

|9.1 |Reports and Analysis |

|9.1.1 |Non - conformities, accidents and hazardous occurrences are reported to the company ashore, | | | |

| |investigated and analysed | | | |

|9.1.2 |Fore Non - conformities, accidents and hazardous occurrences are there corrective and preventive | | | |

| |procedures – actions | | | |

|9.1.3 |All non-conformities have been closed in time | | | |

|9.1.4 |All non-conformities have been properly followed up | | | |

| |MAINTENANCE OF SHIP AND EQUIPMENT |

|10.0 | |

|10.1 |Maintenance |

|10.1.1 |The maintenance system includes systematic plans and actions designed to | | | |

| |address all those items and systems covered by class and statutory survey and | | | |

| |ensure that the vessel’s condition is satisfactorily maintained at all times | | | |

|10.1.2 |Are shipboard personnel allocated specific responsibilities? | | | |

|10.1.3 |Preventative maintenance procedures developed and implemented for at least the following; |-- |-- |-- |

|10.1.3.1 |-Hull and superstructure steelwork | | | |

|10.1.3.2 |-Safety, fire-fighting and anti-pollution equipment | | | |

|10.1.3.3 |-Navigational equipment | | | |

|10.1.3.4 |-Steering gear | | | |

|10.1.3.5 |-Anchoring and mooring equipment | | | |

|10.1.3.6 |-Main engine and auxiliary machinery | | | |

|10.1.3.7 |-Pipelines and valves | | | |

|10.1.3.8 |-Cargo loading / discharging equipment | | | |

|10.1.3.9 |-Bilge and ballast pumping and separator systems | | | |

|10.1.3.10 |-Communication equipment | | | |

|10.1.3.11 |-Waste disposal equipment, Incinerators etc | | | |

|10.1.3.12 |-Fire, gas and heat detection system | | | |

|10.2.1 |Inspections |

|10.2.1.1 |Periodicity of superintendent’s inspections is in accordance with the SMS Manual | | | |

|10.2.1.2 |Date of last superintendent’s inspection to the ship:       | | | |

|10.2.1.3 |No non-conformities made | | | |

|10.2.1.4 |No outstanding defects / n-c’s not rectified / closed from sup. int’s reports | | | |

|10.2.1.5 |No outstanding conditions of class | | | |

|10.2.1.6 |No outstanding flag state defects | | | |

|10.2.1.7 |No outstanding port state defects | | | |

|10.2.1.8 |Maintenance inspections are held at appropriate intervals | | | |

|10.2.2 |Defects are reported to the Company with its possible cause (if known) | | | |

|10.2.3 |Appropriate corrective action been taken and this properly recorded | | | |

|10.2.4 |Records of all activities are maintained | | | |

|10.3 |Critical Equipment and Systems |

|10.3.1 |Does the SMM include equipment and technical systems the sudden operational failure of which may result in hazardous |

| |situation? IF Yes describe below the major of this equipment : |

|10.3.2 |-Alarms and emergency shutdowns | | | |

|10.3.3 |-Fuel oil systems | | | |

|10.3.4 |-Cargo systems | | | |

|10.3.5 |-Emergency equipment | | | |

|10.3.6 |-Safety equipment | | | |

|10.3.7 |System for testing stand-by arrangements and equipment or technical system that are not continuously| | | |

| |used use is in place and used | | | |

|ISM Ref | |Yes |No |Rem |

|11.0 |DOCUMENTATION | | | |

|11.1 |Document Control |

|11.1.1 |Where relevant, the reader can identify the revision status of the document and the date of issue | | | |

|11.1.2 |A copy of the DOC is available on board | | | |

|11.1.3 |SMS Manuals are written in a language that can be understood by the Officers and crew with | | | |

| |assigned duties | | | |

|11.2.1 |Validity of Documents |

|11.2.1.1 |The updated Safety Management System documents (SMS Manual, Company’s manuals, etc.) are available| | | |

| |as specified by the relevant distribution lists. | | | |

|11.2.1.2 |Specific responsibilities allocated to shipboard personnel in the implementation of this | | | |

| |procedure? | | | |

|11.2.2 |Changes and Amendments |

|11.2.2 |Changes are readily identified and notified to relevant personnel onboard. The position of each | | | |

| |controlled document determined | | | |

|11.2.3 |Obsolete Documents |

|11.2.3.1 |Procedures for ensuring that obsolete documents are removed and destroyed, or kept in file (delete| | | |

| |as applicable) are in use | | | |

|11.2.3.2 |Procedures in place, in case a ship is sold, laid up, in repairs etc, | | | |

|11.3 |Safety Management Manual |

|11.3.1 |Officers can easily locate relevant sections in the SMS | | | |

| |Company Verification, Review and Evaluation |

|12. | |

|12.1 |SMS Audits |

|12.1.1 |Internal audits are conducted by the Company at least annually on the vessel | | | |

|12.1.2 |The audits are performed on the basis of a check-list | | | |

|12.1.3 |Periodicity of audits is in accordance with the SMS Manual | | | |

|12.1.4 |Date of last internal audit of the ship:       | | | |

|12.1.5 |The auditors belong to the Company’s staff external organisation | | | |

|12.1.6 |Audit reports and possible non-conformity forms are available | | | |

|12.1.7 |All non-conformities are closed in time and all related documentation is available | | | |

|12.1.8 |All non-conformities are investigated and all related documentation is available | | | |

|12.1.9 |The report of the last audit from MCI and the list of non-conformities are available | | | |

|12.1.10 |The corrective actions taken to close-out the non conformities have been reviewed by MCI | | | |

| |auditor(s) and are considered effective | | | |

|      |      | | | |

|      |      | | | |

|Non conformities(See individual NCRs for details) were identified as follows: |

|NCR No. |ISM clause |Major NCR (Y/N) |To be closed by date |Closed-out date |

|      |      |      |      |      |

|      |      |      |      |      |

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|Remarks / Notes | |

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|      |      |      |      |      | |

|Name, Signature and Seal | |Date (dd/mm/yy) | |

|of authorised CI Auditor | | | |

| | |      | |

| | | | |

|Port Area (s) |      | | |

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