1307 Internal Audit Report - V 2013-07-20

SMS AUDIT

ISM/SMS Audit

ISM CODE - Chapter 1

1.2 Objectives
1.2.1. The objectives of the Code are to ensure safety at sea, prevention of human injury or loss of life, and avoidance of damage to the environment, in particular, to the marine environment, and to property.
1.2.2. Safety management objectives of the Company should, inter alia:
.1. provide for safe practices in ship operation and a safe working environment;
.2. assess all identified risks to its ships, personnel and the environment and establish appropriate safeguards; and
.3. continuously improve safety management skills of personnel ashore and aboard ships, including preparing for emergencies related both to safety and environmental protection.
1.2.3. The safety and management system should ensure:
.1. compliance with mandatory rules and regulations; and
.2. that applicable codes, guidelines and standards recommended by the Organization, Administrations, classification societies and maritime industry organizations are taken into account.

1.4 Functional requirements for a Safety Management System (SMS)
. Every company should develop, implement and maintain a Safety Management System (SMS) which includes the following functional requirements:
.1. a safety and environmental protection policy;
.2. instructions and procedures to ensure safe operation of ships and protection of the environment in compliance with relevant international and flag State legislation;
3. defined levels of authority and lines of communication between, and amongst, shore and shipboard personnel;
.4. procedures for reporting accidents and non-conformities with the provisions of this Code;
.5. procedures to prepare for and respond to emergency situations; and
.6. procedures for internal audits and management reviews.

10 Company Structure know and understood by crew

11 The company procedure implemented by the officer.

13 Company Communication procedure implemented

ISM CODE 1 Additional

ISM CODE - Chapter 2

2.1. The company should establish a safety and environmental protection policy which describes how the objectives, given in paragraph 1.2, will be achieved.

2.2. The company should ensure that the policy is implemented and maintained at all levels of the organization both ship based as well as shore based.

To verify compliance the following has been verified:

2 Policy's posted and signed by Managing Director.

2 Policy's known by crew

2Policy's implemented by senior officers.

ISM CODE 2 Additional

ISM CODE - Chapter 3

3.1. If the entity who is responsible for the operation of the ship is other than the owner, the owner must report the full name and details of such entity to the Administration.

3.2. The company should define and document the responsibility, authority and interrelation of all personnel who manage, perform and verify work relating to and affecting safety and pollution prevention.

3.3. The Company is responsible for ensuring that adequate resources and shore based support are provided to enable the designated person or persons to carry out their functions.

To verify compliance the following has been verified

3.2 Job descriptions known by all crew, and corresponding to their onboard responsibilities and tasks.

3.2 Job description for all crew onboard

30 Crew familiar with the 71-10 shipboard structure.

ISM CODE 3 Additional

ISM CODE - Chapter 4

To ensure the safe operation of each ship and to provide a link between the company and those on board, every company, as appropriate, should designate a person or persons ashore having direct access to the highest level of management. The responsibility and authority of the designated person or persons should include monitoring the safety and pollution prevention aspects of the operation of each ship and to ensure that adequate resources and shore based support are applied, as required.

To verify compliance the following has been verified:

40. DPA and DPA Concept Known by all.

40. DPA Contact poster posted and implemented

ISM CODE 4 Additional

ISM CODE - Chapter 5

5.1. The company should clearly define and document the master’s responsibility with regard to:
.1. implementing the safety and environmental protection policy of the Company;
.2. motivating the crew in the observation of that policy;
.3. issuing appropriate orders and instructions in a clear and simple manner;
.4. verifying that specified requirements are observed; and
.5. periodically reviewing the SMS and reporting its deficiencies to the shore based management.

5.2. The Company should ensure that he SMS operating on board the ship contains a clear statement emphasizing the Master’s authority. The Company should establish in the SMS that the master has the overriding authority and the responsibility to make decisions with respect to safety and pollution prevention and to request the Company’s assistance as may be necessary

To verify compliance the following has been verified:

50. The masters authority and responsibilities known by master

51. Masters review conducted according to procedures

52. Masters inspection of the vessel.

ISM CODE 5 Additional

ISM CODE - Chapter 6

6.1. The Company should ensure that the master is:
.1. properly qualified for command;
.2. fully conversant with the Company’s SMS; and
.3. given the necessary support so that the Master’s duties can be safely performed.

6.2. The Company should ensure that each ship is manned with qualified, certificated and medically fit seafarers in accordance with national and international requirements.

6.3. The Company should establish procedures to ensure that new personnel and personnel transferred to new assignments related to safety and protection of the environment are given proper familiarization with their duties. Instructions which are essential to be provided prior to sailing should be identified, documented and given.

6.4. The Company should ensure that all personnel involved in the Company’s SMS have an adequate understanding of relevant rules, regulations, codes and guidelines.

6.5. The Company should establish and maintain procedures for identifying any training which may be required in support of the SMS and ensure that such training is provided for all personnel concerned.

6.6. The Company should establish procedures by which the ship’s personnel receive relevant information on the SMS in a working language or languages understood by them.

6.7. The Company should ensure that the ship’s personnel are able to communicate effectively in the execution of their duties related to the SMS.

To verify compliance the following has been verified:

60-01 All crew certification in compliance, Matrix up to date.

60-01 Crew manager manual onboard and up to date.

60-01 Crew agent contact procedures implemented

61. Crew complaint procedure implemented onboard

62-02 Familiarization conducted according to procedures.

62-03 Safety introduction of passengers conducted as per procedures

62-04 SMS information booklet implemented

62-05 Familiarization of sub contractors implement

62-10 Familiarization of the electronic SMS

63-01 signing on and off crew

63-02 Crew certificates monitoring according to procedure

63-04 Staff appraisals conducted according to procedures

63-05 Disciplinary actions.

63-06 Rest hours and records in compleance

64-01 Training and courses procedures in compliance and implemented.

ISM CODE 6 Additional

ISM CODE - Chapter 7

The Company should establish procedures, plans and instructions, including checklists as appropriate, for key shipboard operations concerning the safety of the personnel, ship and protection of the environment. The various tasks should be defined and assigned to qualified personnel

To verify compliance the following has been verified:

71-01 Shipboard structure known and correct

71-02 Work Permit procedures implemented

71-03 Safety Data sheets procedure implemented

71-04 Waste and garbage management procedures implemented

71-05 SOPEP and environmental procedures implemented

71-06 Oil record book procedures implemented

71-07 Security procedures implemented

71-09 Handover procedures implemented

71-10 Safety inspection procedures implemented

71-13 Lifting appliances procedures implemented

71-16 Heavy weather instructions

71-19 On-board medical care

71-21 Fall protection procedures?

71-40 Ship Energy Efficiency Management Plan (SEEMP)

72 Deck procedures implemented such as - order books, charts and publications, checklists, Cargo operations, Dangerous goods handling, navigation in severe conditions etc.

75 Engine procedures such as, notice boards, bunkering, bilge, sludge and black water, potable water and vessel at severe conditions

78 Galley procedures such as, Stores and provision, hygiene, temperature control, inventories and inspections.

ISM CODE 7 Additional

ISM CODE -Chapter 8

8.1. The Company should identify potential emergency shipboard situations, and establish procedures to respond to them.

8.2. The Company should establish programmes for drills and exercises to prepare for emergency actions.

8.3. The SMS should provide for measures ensuring that the Company’s organization can respond at any time to hazards, accidents and emergency situations involving its ships

To verify compliance the following has been verified:

81 Emergency preparedness procedures deck department implementation

82 Engine department emergency preparedness procedures implemented

83-01 Drill and exercise procedures as records and overview implemented

83-02 Training precautions and risk assessments implemented

84-01 CERT Team communication procedures implemented.

84-03 Muster-plans and cards procedures implemented and effective

ISM CODE 8 Additional

ISM CODE - Chapter 9

9.1. The SMS should include procedures ensuring that non-conformities, accidents and hazardous situations are reported to the Company, investigated and analysed with the object of improving safety and pollution prevention.

9.2. The Company should establish procedures for the implementation of corrective action, including measures intended to prevent recurrence

To verify compliance the following has been verified:

91-01 Safety committee procedures implemented and effective

91-03 Safe working practice implemented

91-04 Risk assessment procedure implemented

92 Reports, near miss and accident procedures implemented and effective

ISM CODE 9 Additional

ISM CODE - Chapter 10

10.1. The Company should establish procedures to ensure that the ship is maintained in conformity with the provisions of the relevant rules and regulations and with any additional requirements which may be established by the Company.

10.2. In meeting these requirements the Company should ensure that:
.1. inspections are held at appropriate intervals;
.2. any non-conformity is reported with its possible cause, if known;
.3. appropriate correction action is taken; and
.4. records of these activities are maintained.

10.3. The Company should identify equipment and technical systems the sudden operational failure of which may result in hazardous situations. The SMS should provide for specific measures aimed at promoting the reliability of such equipment or systems. These measures should include the regular testing of stand-by arrangements and equipment or technical systems that are not in continuous use.”

To verify compliance the following has been verified:

101 Certificates, look and records books, mandatory publications

102-01 PMS system compliance and effectivness

102-02 Critical systems procedure implementation

103 Insurance procedures implemented

104 Classification procedures implemented

ISM CODE 10 Additional

ISM CODE - Chapter 11

11.1. The Company should establish and maintain procedures to control all documents and data which are relevant to the SMS.

11.2. The Company should ensure that;
.1. valid documents are available at all relevant locations;
.2. changes to documents are reviewed and approved by authorized personnel; and
.3. obsolete documents are promptly removed.

11.3. The documents used to describe and implement the SMS may be referred to as the “Safety Management Manual”. Documentation should be kept in a form that the Company considers most effective. Each ship should carry on board all documentation relevant to that ship.

To verify compliance the following has been verified:

110 SMS Documentation implemented

112 SMS update procedure implemented

113 SMS Posted documents procedure implemented

115 Archiving procedures implemented

ISM CODE 11 Additional

ISM CODE - Chapter 12

12.1. The Company should carry out internal safety audits on board and ashore at intervals not exceeding twelve months to verify whether safety and pollution-prevention activities comply with the safety management system. In exceptional circumstances, this interval may be exceeded by not more than three months.

12.2. The Company should periodically evaluate the effectiveness of the SMS in accordance with procedures established by the Company.

12.3. The audits and possible corrective actions should be carried out in accordance with documented procedures.

12.4. Personnel carrying out audits should be independent of the areas being audited unless this is impracticable due to the size and the nature of the Company.

12.5. The results of the audits and reviews should be brought to the attention of all personnel having responsibility in the area involved.

12.6. The management personnel responsible for the area involved should take timely corrective action on deficiencies found

To verify compliance the following has been verified:

121 Management review onboard and known.

122 Internal audit procedures in compliance

ISM CODE 12 Additional

ISPS AUDIT

1. GENERAL SHIP SECURITY

1.1 Crew Familiar with SSO, CSO and PFSO concepts.

1.2 SSP Confidentiality

1.3 SSO and Master have appropriate Training certificates onboard

Additional

2. ACCESS CONTROL

2.1 Lockdown procedure in place

2.2 Access control, Vessel visiting and ID control

2.3 ISPS Placards posted and in compliance

2.4 Emergency escapes and access control

2.5 Restricted areas and identification of such spaces.

Additional

3. SHIP SECURITY PLAN

3.1 SSP and SSAR location and access

3.2 Revision of the SSP and SSAR

3.3 Amendments conducted and approved

Additional

4. DRILLS, FAMILIARIZATION AND EXERCISES

4.1 Drills conducted according to SSP, Different scenarios practiced and recorded.

4.2 SSO Conducting Security familirisation

4.3 Annual ISPS exercise conducted and records kept onboard

Additional

5. SECURITY PROCEDURES ONBOARD

5.1 Cargo handling

5.2 Stores handling

5.3 Stowaway control procedures

5.4 Threat procedures

Additional

6. SHIP SECURITY EQUIPMENT AND TESTING

6.1 Inventory and verification of security equipment

6.2 SSAS testing and verification

Additional

7. MARSEC LEVELS AND ACTIONS

7.1 MARSEC levels posted

7.2 MARSEC level change procedures implemented

Additional

8. SECURITY DOCUMENTATION, RECORDS AND LOG BOOKS

8.1 Security log book in order

8.2 SSAS Live test records

8.3 DoS Records and 10 last ports procedures implemented

8.4 CSRs onboard, in original, in sequential order and all forms in place.

Additional

MLC 2006

General MLC status

1. DMLC Part I and II on-board and DMLC Certificate in Original?

2. First/Intermediate flag verification conducted

3. Crew completed CBT training as required?

1. Minimum age (regulation 1.1)

1. No one under 16 years employed onboard?

2. No one under 18 years employed as chief cook?

3. Officers and crew aware of the restrictions on work and duties for young Seafarers ( under age 18).

4. Rest our requirements for young seafarers followed, recorded and known by crew?

2. Medical certification (Regulation 1.2)

1. Seafarers medical certificates for all in order and in original?

2. Medical chest according to flag state and certified.

3. Seafarer right to second opinion known by crew and practiced?

4. Masters verification of the medical chest is conducted?

5. Master and appointed officer holds a valid MECA certificate?

3. Qualification of seafarers (Regulation 2.1)

1. Seafarers certificate in compliance and in original onboard?

2. Masters verification of seafarers certification conducted as required by the SMS

4. Seafarers employment agreements (Regulation 2.1)

1. All seafarers onboard hold an original SEA and the master has copies of all SEA?

2. Valid CBA on board and known by the crew?

3. SEA for subcontractors issued or verified?

5. Use of any licensed or certified or regulated private recruitment and placement service (Regulation 2.3)

1. RPS approve ed and certified according to MLC 2006

2. P&I Insurance for financial security and money loss known by crew and master?

3. Is the RPS verifying crew competency before sending the seafarer onboard?

4. Is the RPS taking out any charge from the seafarer before hiring or for any service they provide to the seafarer?

6. Hours of Rest or Work ( Regulation 2.3 )

1. Rest/work hour records onboard and signed by the Master and seafarer?

2. Table of working/rest hours posted onboard?

3. Violation and compensation of rest hours recorded onboard?

4. Company have access to rest hours records?

7. Manning levels for the ship (Regulation 2.7)

1. Minimum safe manning document posted?

2. Vessel manned according to recuirements?

3. RPS verifying manning requirements before seafarer signs on?

8. Accommodation (Regulation 3.1)

1. Approved accommodation plans onboard?

2. Inspection of accommodation carried out by the Master in accordance with SMS chapter 52.

3. Accommodation status, lighting, ventilation, cleanness, hygiene, galley etc...

9. On-board recreational facilities (Regulation 3.2)

1. Gym, and day room equipment in good order and servicing crew onboard as required?

2. Access to e-mail and communication to home?

10. Food and catering (Regulation 3.2)

1. Potable water handled in accordance with 71-09?

2. Water analyze records and report onboard, valid and in compliance...

3. Drinking water in bottles as backup onboard?

4. Galley inspected as per SMS chapter 78 and records available?

5. Weekly meal plan posted and in accordance with the DMLC Part II?

6. Food stores onboard according to regulation and at least 1 month reserve onboard?

7. Food handling guide implemented and printed?

8. Weekly inspections carried out and recorded?

11. Health, safety and accident prevention (Regulation 4.1)

1. Safety committee meeting held as required by SMS 91-01?

2. Safety officer inspection conducted as required, SMS 71-10?

3. Familiarization conducted as required by SMS Chapter 62?

4. Safety data sheets implemented as per SMS 71-03?

5. Risk assessments implemented and structured as per company structure? (SMS 91-04)

6. Permits recorded and implemented as required by SMS 71-02?

7. Company policy's implemented to satisfactory level, including DMLC part II?

12. Onboard medical care (Regulation 4.1)

1. Onboard medical care as required by the DMLC part II and SMS 71-19?

2. MECA certification of appointed officer and master valid?

3. Medical chest certified according to the flag requirement, vessels size and number of people onboard?

4. Shore treatment available as required by the DMLC Part II, SMS 71-19 without any cost to the seafarer?

5. Medical reports recorded and kept as required?

13. On-board complaint procedure (Regulation 5.1.5)

1. Complaint procedure know by the crew, for issued to each crew meber?

2. Contact information available onboard for required authorities?

14. Payment of wages (Regulation 2.2)

1. All seafarers receive monthly salary, payed out in the end of the month at least?

2. All seafarers receives monthly pay-slips at the end of the month containing all transaction?

3. Seafarers not deducted any costs for sending home salary, for exchange salary etc?

4. Pay-slips indicate deductions and are in accordance with the CBA?

Additional MLC inspections.

Additional issues...

1307 Internal Audit Report - V 2013-07-20

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