Audit

1. The Safety Management Manuals

Company policy, drug &alcohol policy and instructions are properly displayed & records maintained for all personnel on boars

SMS Manuals are available as indicated in the distribution list- Updated hard copies of BDPM,ERPM,ECP, SOPEP/SMPEP, CHM, CSM in relevant locations.

Current revision is available on board and on the ship's network

Are all on board familiarized with the company SMS and updates & revisions.

Emergency organizations/ERS/ National operational contact details available?

DPA/CSO Contact numbs available & posted?

2. Documentation
2.1 Ship's Certificates (attach list)

Are the ship's certificates arranged and filed in accordance with SMM7 App2?

Are the ship's certificates valid & current

List the certificates expiring within next 3 months.

2.2 Library, Publications, Technical documentation

List of publications is current & Maintained

Conventions, IMO publications, rules & regulations and technical guidance books, as listed in the SMS manuals area available?

Nautical publications, code of signals, etc... As listed in the SMS manuals are available

Technical manuals and drawings are available?

Manuals, documents and instructions requested by compulsory requirements or by the company as listed in the SMS manuals are available. Class approved manuals : Loading & stability, damage stability, SOPEP/ SMPEP, ODMCS, IGS, CSM, P&A manual (As applicable)

2.3 The following Records are updated and in order
Maintenance

A. PMS - Engine & Deck Machinery (List no. Of overdue jobs)

B. CMS (No Overdue Jobs)

C. Inspection of cargo tanks, ballast tanks, void spaces and cofferdams.

D. Fire fighting & Life saving appliances

E. Bridge equipment & Systems

F. Automation

Fuel & Lube oil Analyses reports (last report date)

Are Lube oil Analyses carried out at specified intervals?

Are recommendations (if any) followed up?

Tests & Drills register (include last 2 dates)
1. Abandon ship drill
2. Fire drill
3. Lowering of L/B & R/B
4. Emergency steering drill
5. MOB drill
6. ISPS drill
7. SOPEP/ SMPEP drill

Familiarizations

Prior to sailing familiarization carried out?

Bridge equipment familiarization carried out prior taking over the Bridge Watch?

Engine room Familiarization carried out prior taking over an engine watch?

14 days Safety Familiarizations carried out?

Hygiene/ Sanitary inspections carried out? (Health & Safety Inspections)

Pump room entry permits correctly recorded (If applicable)

Enclosed Space entry permits, correctly recorded?

Hot work permits, including Company notifications/ permissions & associated RA's

Working aloft/ outboard permits correctly recorded?

Electrical isolation permits correctly recorded?

2.4 Correspondence and other documentation files

Master/Chief Engineer/ Chief Officer Reports at relief

Other correspondence with regard to the SMS follow up
1. N/C reports and follow up in SMART

2. Master's review & follow up available?

3. internal audits and follow up available?

4.?Superintendent's HIT- Lists and follow up

2.5 Spare parts & Materials

Requisitions from the ship have been addressed?

Spare parts and material inventories are maintained?

In case of "Customer supplied equipment", are adequate records of maintenance and spares available?

2.6 Company/ IMO/ Flag State Circulars/ Letters

Circulars duly filed and circulated/ discussed?

An index is provided for those still valid and those not in force have been removed?

3.1 Ship's Personnel

The crew list and certification complies with the Safe Manning Document. (Compare with the operational STCW levels mentioned in the SMD)

Officer's and crew's certificates comply with STCW and Flag State requirements, including Flag State dangerous cargo endorsements for the specific Management/ Operational Levels

Crew training records maintained?

Watch arrangements are updated & displayed in the correct format?

Rest hours are maintained and in compliance. Monthly exports sent to the office?

Records of D&A tests are maintained?

3.2 Language and Nationalities

Officers and crew can communicate in ENGLISH?

Senior Officers have a good knowledge of the English Language?

3.3 Duties

The Master has delegated some of his duties.
A) written communication available
B) Standing orders and Night Orders available and signed.

The Chief Engineer has delegated some of his duties.
A) written communication available
B) Standing orders and Night Orders available and signed.

3.4 Shipboard Organization
Safety & Environment Committee/ Team

SEP Meetings are held in accordance with the SMM (Monthly)

Minutes of the meetings are available on board and are in accordance with the agenda in SMM?

Evidence of crew participation in the SEP meetings?

SEP meeting to be held on board, Auditor to participate in the meeting.

Is the vessel provided with updated legal and other information that the organization subscribes to?

Company KPI and vessel's performance regularly compared and evaluated?

4.1 Safety/ Environment Management

Is the DPA known to the Master & Key personnel?

Is the role of The DPA knpwn to key personnel?

Aid the Master aware of his overriding authority as per ISM code?

Is the Master clear of this authority to request Company assistance as may be necessary?

Sufficient crew are on board to deal with emergencies?

Muster Lists/ Emergency instructions are updated including substitutes for key personnel?

IMO Safety precautions are displayed, IMO safety signage satisfactory?

Electric and gas welding equipment are in good condition?

Acetylene and Oxygen bottles are stowed in separate compartments?

Environmental targets and programs monitored and reviewed?

Is C/E (The Environmental Officer) aware of his duties in accordance with the EMM?

Crew Training in EMM Conducted?

4.2 Accidents, near misses and hazardous situations, Risk Assessments

SMART reports are issued for accidents, Near Misses, Hazardous situations and Failures that have occurred?

Follow up of reports and adequate close out is available?

Vessel has reported Near miss situations and other proactive reporting, including suggestions for improvement?

Risk assessments are performed as required by the SMS and is the structured Risk Assessment methodology used to identify potential hazards?

4.3 Company inspections on ships

Date of last inspection.

Interval of inspections is in accordance with the SMS?

Copy of the inspection reports or list if non - conformities is available?

Communication from e Ship's command to the company when defects have been corrected are available? (Follow up of hit lists)

4.4 Company Audits on Ships

Date of the last Company Internal audit.___________

Date of last Master's Review and follow up.

Intervals of the Internal Audits is in accordance with the SMS?

Company audit reports and or list of non conformities is available?

Communication from e Ship's command to the company when non conformities have been corrected are available

4.5 Class Audits

Date of Last Audit___________

Class Audit reports or list of non conformities available.

Communication from ship's command to the company when non conformities have been corrected available.

4.6 Port State Control / Vetting / Inspections

date and place of last Port State Control Inspection.
Observations from last PSC Inspection adequately addressed.

Vetting Reports and corrective actions followed up and closed.

Customer complaints, if any, reported and adequately addressed.

5. Pollution Prevention
5.1 All Ships
5.5.1 Bunkering and fuel transfer:

A. Piping diagrams are properly displayed

B. Checklists are used for Bunkering and Internal transfer.

C. OWS discharges in accordance with requirements

D. Sludge handling and records in accordance with requirements

E. incinerator operations & recording in accordance with requirements

Test and calibration records of OWS are available

Anti Pollution scupper plugs are in use and effectively plugged

Spill containers and gratings are fitted under bunker manifolds and fuel tank vents, clean and dry and effectively plugged?

Unused manifolds are blanked and fully bolted

Exposed decks are free from garbage, oil/ oily material, toxic material

Means are readily available to deal with small oil spills

The Oil Record Book Part I (Machinery Spaces) is complete and up to date.

Garbage stored as per Garbage Management Plan and Garbage log book up to date

Chemicals

Chemicals are properly stowed in designated Chemical Lockers that have restricted access, MSDS are available, PPE available

Drills have been conducted as per SOPEP/ ECP

5.2 Tankers

Cargo/ Ballast plan has been prepared for current operations, approved by Master and agreed between ship and shore

Sip- Shore checklist completed including Repetitive checks

No Cargo leakage visible on deck

Spill containers and gratings are fitted under cargo manifolds

Unused cargo line manifolds are blanked and fully bolted

The Cargo/ Ballast pump room bilge high level alarm is working

The Cargo Oil Record Book Part II (Oil Tankers), Cargo Record Book (Chemical tankers) is complete and up to date

Products hazards (MSDS) and first aid instructions are posted in the crew accommodation

Antidotes are available on board for specific cargoes

Records of pre- operations checks as per CHM available

6. Life Saving and Fire fighting Equipment

The following Ship- Specific manuals, lists and log books are available on board:

Training manuals on Life Saving appliances and Fire Safety Training Manual

LSA/ FFA instructions, maintenance and records

During the general examination of the ship, the following appliances have been visually examined and found in good condition

Lifeboats and lowering/ launching arrangements

Life rafts: Stowage, securing and elated hydrostatic releases

Life buoys and stowage as required

Fire detection system and controls, including testing of detectors

Fixed CO2/ Foam fighting systems for deck/ pump room/ Engine Room

Local water mist systems (as Applicable)

Fixed Fire detection and fighting systems for car decks (as applicable)

Records of LSA maintenance including On Load release gear

Ae lifeboat and life raft operating instructions displayed?

The emergency Fire Pump is operational and a maintenance data is available

The emergency fire pump is provided with operating instructions?

Operating instructions are posted next to fixed fire fighting systems

Vent trunk fire flaps and funnel dampers are clearly marked and operational

Accommodation ventilation stops are clearly marked and operational

Gangways are properly rigged and lighted?

A life buoy with SI light and a lifeline is available near the gangway?

Life jackets and survival suits are in good condition and regularly checked?

7. Cargo/ Ballast Systems
7.1 Tankers

The Sip/Shore checklist (with chemical supplement as required) is completed and provisions are being observed

Stress and stability calculations are performed during operations

Suitable pipeline diagrams are available?

P/V Valves appear in good condition (Check Flame screens)

P/V Breaker with adequate amount of liquid (Level clearly visible)

Mast Riser flame screens in good condition and mast riser drain is clear?

Ballast exchange records maintained as per company requirements

Has Cargo/ Ballast plan been prepared for current operations and agreed between ship and shore

Cargo handling is being carried out as per agreed plans

Records are available for the testing of:

Pump controls, alarms and trips

P/v Valves, Mast Risers, IG Non- Return valve, deck seal

cargo Piping

Inert gas system alarms, trips, calibration of fixed O2 analyzer

VECS System, calibration of sensors

Portable gas detection equipment (Tests, calibration and records)

Fixed Gas Detection system

Fixed and portable tank gauging system

Tank temperature and pressure sensors, where applicable

Portable Cargo/ Tank Cleaning hoses

Verification of comparison between manual and automatic gauges

7.2 Pump Rooms

Clean and tidy, Free of any visible traces of cargo, oily rags, debris

Warning Notices posted?

Entry Policy displayed and entry permits recorded

EEBD, Stretcher, Ear Protectionavailable

Bilge alarms checked and emergency Bilge Pumping arrangements in order

FFA available and operational, including light interlock, fire dampers, visual and audible alarms

Guard railings, gratings, chains and pump shaft guards in place?

8. Lifting/ Hoisting/ Securing equipment

Is Safe Working Load (SWL) clearly marked on all lifting equipment?

Ae maintenance records up to date (Register of lifting appliances, PMS)

Work Aloft and loose lifting gear regularly inspected, including harness, lifelines, stages, chain blocks, hoists.

Appliances for RO-RO,
cargo securing equipment adequately maintained, marked and stowed

9. Mooring and Anchoring Equipment

Visible part of mooring ropes,/ wires, fire wires, mooring tails, stoppers, mooring shackles are in good condition (Ref BDPM 7.2.2)

Have ropes/ wires been reeled in correct direction?

Records/ Certificates available for all mooring equipment, identifying locations?

Do winch and windlass brake linings and hinge pins appear in good condition.
Last BHC test date __________

Have rendering arrangements been set to 60% MBL and crew aware of the same

Visible parts of anchor, chains and stoppers are in good condition?

Decks in mooring areas are painted with non-skid paint?

10. Bridge Equipment and Procedures

Are charts and publications corrected up to latest notice to mariners received?

Chart co is operational?

ADP and ENC's where applicable are updated weekly?

Are other nautical publications, the latest editions and corrected up to date?

Is the compass error log maintained and up to date?
Deviation table posted and current, Compare recorded deviations with the posted table.

Watch and lookout arrangements in accordance with company guidelines?

Are latest navigational warnings, Navtex warnings, T& P notices and local area weather reports available on the bridge and endorsed on charts, if applicable?

Ae the Ship's Maneuvering characteristics, UKC policy, machinery failure procedures, Black Out procedures,, Table of Life saving signals displayed on the bridge?

Ate Auto/ Manual/ Emergency steering change- over procedures displayed?

Is passage planning conducted according to company requirements and berth to berth, including UKC Policy?

Is passage monitoring conducted in accordance with the company guidelines?

Are Pilot Information data sheets and relevant records in order?

Records of service and maintenance of Bridge/ Communication equipment

Records of Master's Navigational audits are available?

11. Communication Equipment

Main transmitting aerials are grounded, when engaged in cargo/ bunkering/ tank cleaning/ venting operations

AIS is operating on appropriate power?

List of Radio Signals are corrected and up to date

Emergency batteries are in good condition?

GMDSS logs maintained and daily / weekly tests recorded

Details of officer responsible for handling communications in an emergency updated?

12. Engine Room

Engine Room bilges are clean and free from oil and other materials.

Last test of bilge alarm date:____________

Escape routes are clearly marked and EEBD's are located as per plan?

UMS Instructions are clearly posted?

Rotating machinery is suitably guarded and warnings posted?

Fire compartment boundaries maintained, Doors are NOT secured OPEN?

Appropriate PPE available in E/R, workshop and appropriate PPE worn by the crew?

Deadweight type and spring loaded sounding caps not permanently secured?

Hot surfaces adequately shielded and protected

All overboard valves effectively sealed and controlled as per Seal Log?

Procedures available to deal with emergencies?
1. Blackout
2. E/R flooding recovery
3. Dead ship start

Controls in case of fire in E/R are clearly marked:

Fixed fire extinguishing systemoperational? (specify Type)

Quick closing valves operational?

E/R ventilators and exhausts marked and operational?

Boilers, fans and burners in satisfactory condition?

13. Electrical systems

Records of tests of electrical equipment available?

Equipment in hazardous area is free from damage and bonding cables are in place?

Electrical Isolation permits are being used when required?

Records of test of batteries available?

Systematic testing o f fire detectors recorded?

Adequate insulation protection provided near switchboards?

E0 list and test records are up to date?

14. Steering Gear

Emergency change over procedure is displayed?

Rudder angle indicator is clearly visible at the emergency steering position?

Access is not obstructed?

Floor is slip proofed?

Gyro repeater is synchronized?

Two-way communication is available?

Test/ Drill records are available?

15. Emergency Generator

Starting/ operating instructions are clearly posted and understood by the crew

Regularly tested (Date of last test___________)

Starting/ Testing (including secondary means) procedures are available.

Ventilation dampers are clearly marked?

Fuel is maintained at adequate level?

16. Load Line Items

Visual inspection of the following items is satisfactory? (Deck Rounds)

Fuel and ballast tank vents

Hand Rails

Hull markings are Properly marked?

Hull markings are in accordance with the certificate?

Fore peak store and chain locker

Weathertight and watertight openings

Safety walkways are adequate

Critical Systems, Equipment and Spares

List of critical systems and critical equipment (identified) I maintained.

Maintenance of the above is clearly highlighted in PMS and being followed

Risk assessments are conducted prior 'shutting down' critical systems

Adequate critical spares are maintained on board for critical equipment

18. Other Compartments and Areas

General conditions of following compartments and areas are satisfactory

Paint Locker (FFA, Closed drums, MSDS available)

Hospital/ first aid kits, stretcher, resuscitation equipment).

No Expired Medicines

Crew accommodation, laundry, stores, public rooms, wash rooms clean

Galley

Clean and hygienic

No afire Hazards

Vent uptake mesh cleaned regularly and no oil deposits

Securing arrangements are proper?

FFA for galley operational, including fire blankets

No obvious slips/ trip hazards

Proper handling and disposal of waste

Fridge Rooms

Maintained at appropriate temperatures

Leakage test records available for refrigerants

PPE available and used?

Drains are clear with no build up of ice

Cold surfaces are adequately protected/ shielded

Storage is clean and secured

19. Security

Current security level displayed and known to crew?

Security arrangements as per security level effectively implemented?

Security records, gangway register adequately maintained?

Restricted areas marked and maintained as per plan?

Drills conducted as per plan and record of drills and participants maintained?

SSAS Tested (Last test date____________)

20. Planned Maintenance System

Is PMS software operational and job lists created for each month?

Are the spare part inventories updated in the PMS wrt. Critical spares

Checked the status of overdue jobs and CMS jobs.

Spot check carried out for verification of completed jobs?

21. Overall assessment (Ref Audit Report)

Are the ship's personnel aware of their duties and responsibilities?

Are adequate resources available to the ship's command?

Is the level of maintenance in accordance with company policy and guidelines?

Are any training needs identified during this audit?

Are any improvement areas identified during this audit?

Are the any health/ crew welfare issues identified during this audit?

Does the vessel management and cow appear sufficiently motivated and conversant with the company values?

Please note that this checklist is a hypothetical example and provides basic information only. It is not intended to take the place of, among other things, workplace, health and safety advice; medical advice, diagnosis, or treatment; or other applicable laws. You should also seek your own professional advice to determine if the use of such checklist is permissible in your workplace or jurisdiction.