Checklist

Audit report item checklist

Reg: 15625L HECTOR Ref : TA00/2012/S0071

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

Register No : 15625L Reference : TA00/2012/S0071

Ship Name : HECTOR 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

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 Document Review
ISM001 SMCI WR SR NA
SMM (Safety Management Manual) last revision checked.

Last Revision
Date

 Audit Plan
ISM063 SMCI WR SR NA
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 1.2.2 Objectives of the Company WR SR NA
Objectives of the Company : Assess all identified risks to its ships, personnel and the environment.
ISM003 SMCI 1.2.2 Objectives of the Company WR SR NA
Company objectives also establish safeguards against all identified risks.
ISM004 SMCI 1.2.2 Objectives of the Company WR SR NA
Company objectives continuously improve safety management skills of personnel ashore and aboard
ships.
ISM005 SMCI 1.2.3.1 SMS Complies with Rules & WR SR NA
Regulations
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 & WR SR NA
Regulations
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 & WR SR NA
Regulations
SMS ensures that recommended applicable codes, guidelines and standards are taken into account.
Safety and Environmental Protection Policy
ISM007 SMCI 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.
ISM008 SMCI WR SR 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 SMCI 3.1 Identification of Responsible Operator WR SR NA
Identification of responsible operator, if not the owner, reported to the Administration.
ISM010 SMCI 3.2 Responsibilities and Authorities of WR SR NA
Responsible Personnel
Definition of responsibilities, authorities and interrelations of responsible personnel.

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Reg: 15625L HECTOR Ref : TA00/2012/S0071

ISM011 SMCI 3.3 Resources for Designated Person WR SR NA

ensured
Resources and shore-based support are provided for the Designated Person(s) to carry out their functions.
Designated Person(s)
ISM012 SMCI 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) [ ]
Master s Responsibility and Authority
ISM013 SMCI 5.1.1 Implementation of safety and WR SR NA
environmental-protection Policy
Implementation of the safety and environmental-protection policy of the Company.
ISM014 SMCI 5.1.2 Motivation of Crew WR SR NA
Motivation of crew in the observation of that policy.
ISM015 SMCI 5.1.3 Clear and Simple Orders WR SR NA
Issuance of appropriate orders and instructions in a clear and simple manner.
ISM016 SMCI 5.1.4 Verification of Specific Requirements WR SR NA
Verification that specific requirements are observed.
ISM017B SMCI 5.1.5 Review & Reports on S.M.S. are sent WR SR NA
to the shore
Periodically review of the SMS and reporting of its deficiencies to the shore-based management.
ISM018 SMCI 5.2 Masters Overriding Authority WR SR NA
SMS contains a clear statement emphasising the master's authority.
Resources and Personnel
ISM019 SMCI 6.1.1 Masters Qualification WR SR NA
Verify the Master's qualification.
ISM020 SMCI 6.1.2 Masters are conversant with SMS WR SR NA
Verify that the Master is fully conversant with the SMS.
ISM021 SMCI 6.1.3 Masters are supported to perform their WR SR NA
duties
Verify that it is given the necessary support to the Master to perform his duties safely.
ISM022B SMCI 6.2 Crew qualification, certification and WR SR NA
medical fitness
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 6.3 New/Transferred Personnel WR SR NA
Familiarisation
New / transferred personnel to new assignments, related to safety and protection of the environment are
being familiarised with their duties.
ISM024 SMCI 6.4 Understanding Rules, Regulations, WR SR NA
Codes and Guidelines
All personnel involved in the SMS have an adequate understanding of relevant rules, regulations, codes
and guidelines.
ISM025 SMCI 6.5 Identification of Training Needs and WR SR NA
Training actions
Identification of training needs and confirmation that such training is provided.
ISM026 SMCI 6.6 Working language(s) for personnel's WR SR NA
information
Personnel receive relevant information on the SMS in (a) working language(s) understood by them.
ISM027 SMCI 6.7 Effective Communication between ship's WR SR NA
personnel (language)
Personnel are able to communicate effectively in the execution of their duties related to the SMS.
Shipboard Operations

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ISM028B SMCI WR SR NA
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 8.1 Identification, description and response WR SR NA
to emergency situations
Identification of potential emergency shipboard operations and response to these emergency operations.
ISM030 SMCI 8.2 Emergency drills and exercices WR SR NA
(ship/shore)
Programmes for emergency drills and exercises.
ISM031 SMCI 8.3 Company emergency response WR SR NA
measures
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 WR SR NA
NCs and hazardous occurrences
Reported to the Company, investigated & analysed with the objective of improving safety and pollution
prevention, including near misses.
ISM033 SMCI 9.2 Corrective Action (CA) WR SR NA
Implementation of corrective action.
ISM104 SMCI 9.1 Reporting, Investigation & Analysis of WR SR NA
NCs and hazardous occurrences
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 WR SR NA
Relevant Rules, Regulations and any
additional requirements from the Company
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 10.4 § 10.2 & 10.3 integrated into the ship's WR SR NA
maintenance routine
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 10.2.1 Inspection at appropriate intervals WR SR NA

Verify that inspection are held at appropriate intervals.
ISM036 SMCI 10.2.2 Reports of NC and its possible cause WR SR NA
Verify that any non-conformity is reported.
ISM037 SMCI 10.2.3 Appropriate Corrective Action WR SR NA
Verify appropriate Corrective Action is taken.
ISM038 SMCI 10.2.4 Records of these activities are WR SR NA
maintained
Verify that records of these activities are maintained.
ISM039 SMCI 10.3 Critical Equipment and Systems WR SR NA
Identified / Measures to Promote Reliability
Identification of equipment and technical systems the sudden operational failure of which may result in
hazardous situation.
ISM040 SMCI 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.

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ISM041 SMCI 10.4 § 10.2 & 10.3 integrated into the ship's WR SR NA
maintenance routine
Verify that § 10.2 & 10.3 are integrated into the ship's maintenance routine.

Documentation
ISM042 SMCI 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 SMCI 11.2.1 Valid Documents available at all WR SR NA

relevant locations
Verify that valid documents are available at all relevant locations.

ISM044 SMCI 11.2.2 Changes to documents treated by WR SR NA

authorised personnel
Verify that changes of documents are reviewed and approved by authorised personnel.
ISM045 SMCI 11.2.3 Obsolete documents promptly WR SR NA
removed
Verify that obsolete documents are promptly removed.
ISM046 SMCI 11.3 Relevant documentation kept onboard WR SR NA
the ship
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
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 12.2 SMS Evaluation & Review WR SR NA
Periodical evaluation of its effectiveness and, when needed, revision of the SMS.
Date [ ]
ISM049 SMCI 12.3 Audits and CA WR SR NA
Audits and corrective actions, in accordance with documented procedures.
ISM050 SMCI 12.4 Independence of Auditors WR SR NA
Auditors shall be independent of the areas being audited (unless this is impracticable).
ISM051 SMCI 12.5 Communication of audit results WR SR NA
Communication of audit results and reviews to all personnel having responsibility in the area involved.
ISM052 SMCI 12.6 Implementation of timely CA WR SR NA
Management takes timely corrective action on deficiencies found.

 Certification and Verification

Certification and Periodical Verification
ISM053 SMCI 13.1 Document of Compliance (DOC) for WR SR NA
relevant Ship Type
13.2 Issuing Authority and validity
13.3 Document of Compliance (DOC) Ship
Types
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 WR SR NA
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 WR SR NA
be authenticated or certified)
Copy of the relevant DOC is on board (not needed to be authenticated or certified).

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Reg: 15625L HECTOR Ref : TA00/2012/S0071

 Specific Flag Requirements

ISM056 SMCI WR SR NA
A sample of specific Flag requirements complied with.

ISM103 SMCI WR SR NA
Flag pre-authorisation granted (if required by the Administration).
Yes No

OPENING/CLOSING MEETINGS REPORT

MEETING DATE PARTICIPANTS OBs

OPENING Not set Not set Not set
CLOSING Not set Not set Not set

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