Audit

Element 1. Management, Leadership and Accountability

1.1 Management commitment is clearly defined in documentation that includes mission and vision statements, policies and procedures.

1.2 Senior management demonstrates a clear commitment to implementing the safety management system

2.1 Safety and environmental excellence are fully understood and supported by vessel and shore-based management teams

2.2 All company personnel can describe what safety and environmental excellence mean in practice

2.3 Management strives to improve performance in the areas of safety and environmental performance at all levels throughout the company

3.1 Shore management sets company standards and performs assessments to verify their implementation

3.2 The steps required to achieve safety and environmental excellence are clearly defined by management.

3.3 Vessel and shore-based management teams promote safety and environmental excellence.

4.1 The steps required to achieve safety and environmental excellence are clearly defined by management.

4.2 Safety and environmental performance targets are monitored against KPIs

4.3 All vessel and shore personnel demonstrate their commitment to safety and environmental excellence.

Element 1A. Management, Leadership and Accountability

1.1 Management ensures that policies cover all the activities undertaken by the company.

1.2 Policies are reviewed through processes described in formal procedures and instructions.

1.3 Procedures and instructions are readily available to all personnel onboard and ashore.

1.4 A formal document control system is in place to ensure that the current management system documentation is available for use at all locations onboard and ashore.

2.1 Instructions and procedures are written in plain language and contain sufficient detail to ensure that tasks can be completed correctly and consistently.

2.2 Periodic meetings to review or amend current procedures or propose new ones take place on a regular and timely basis, and are formally recorded

3.1 The safety management system encourages proactive feedback

3.2 Instructions and procedures covering shore and vessel operations are developed in consultation with those who will have to implement them those who will have to implement them.

3.3 Managers are clearly held accountable for achieving the objectives established for them.

3.4 The company can demonstrate that it is taking measures to comply with known future regulations and legislation

4.1 Benchmarking is used to identify further improvements to the safety management system

4.2 Measurements are carried out regularly according to a comprehensive verification plan

4.3 Senior managers have a mechanism in place to verify the effectiveness of key areas of the safety management system.

Element 2. Recruitment and Management of Shore-Based Personnel

1.1 A documented job description is in place for every role in the organisation

1.2 The pre-recruitment process should include checks that applicants have the appropriate qualifications and experience.

1.3 The recruitment process includes verification that the qualifications of new recruits are genuine.

1.4 There is a formal familiarisation process in place for newly recruited shore-based staff

2.1 A formal staff appraisal system ensures that key staff members undergo a performance assessment at least annually.

2.2 The recruitment process identifies any training needed to ensure that personnel have the required skills and capabilities

2.3 The company maintains up-to-date records of qualifications, experience and training courses attended for all key shore-based staff.

2.4 The average job retention rate for key staff is greater than 70% over a two year period, other than planned attrition

3.1 Key staff retain core technical skills through new training, refresher training and participation in industry forums, seminars and conferences

3.2 The company provides adequate resources to implement the safety management system effectively

4.1 The company encourages and supports personnel taking higher education courses to improve their value to the company and their possibilities for promotion within the organisation

4.2 Senior onboard personnel are rotated through office assignments

4.3 The company promotes appropriate interpersonal skills training

Element 3. Recruitment and Management of Vessel Personnel

1.1 A documented job description is in place for every member of the marine crew

1.2 Management has a defined system of selection, recruitment and promotion procedures.

1.3 A process is in place to screen new crew members for job competence

1.4 Medical checks are conducted as a part of the selection and recruitment process.

1.5 A process is in place to ensure that appropriate security checks are undertaken for all employees

1.6 A formal drug and alcohol policy is implemented and a system is in place to monitor it on a regular basis.

2.1 An appraisal process is in place for all vessel staff.

2.2 The vessel operator verifies that manning agents, where employed, ensure that crew quality requirements are consistently met.

2.3 The company has an enhanced recruitment and interview process for senior officers

2.4 Selection, recruitment and promotion procedures ensure appropriate staff placement with documented appointment records.

2.5 The company promotes hygiene awareness within the safety management system

3.1 The company operates an enhanced appraisal process for senior officers

3.2 The company has a documented disciplinary process

3.3 Manning agencies used by the company are audited annually to ensure their practices meet the vessel operator’s selection and recruitment procedures

3.4 Vessel operators conduct an annual review of the crew selection and recruitment process to ensure that it complies with their policies and procedures

3.5 The company implements health awareness campaigns.

4.1 The company conducts pre-employment assessment for job competence and training for officers and ratings

4.2 The company has a documented planning process to ensure that future manning needs can be met

4.3 The management’s written policy is to operate vessels with senior officers who have appropriate experience and training on the particular type and size of vessel

4.4 The company undertakes vessel health-risk assessments on a rolling basis.

4.5 Appraisal and competence development processes for vessel personnel are linked to future training and promotion requirements

Element 3A. Recruitment and Management of Vessel Personnel

1.1 Shore management provides adequate resources to ensure the well-being of crews.

1.2 There are procedures to ensure that the working and rest hours of all personnel are in line with STCW or relevant authority guidelines for the vessel trade and are being accurately recorded.

1.3 There are procedures in place to ensure that, where crew training is required, it is undertaken within a specific time.

2.1 The company provides initial and refresher training for all ranks.

2.2 Management monitors and records training results and effectiveness.

2.3 The company has procedures to identify additional training requirements.

2.4 Crew training includes the use of audiovisual training aids and/or computerbased training.

3.1 Company policy provides career development for junior officers and aims to promote senior officers from within the company, where possible.

3.2 The company achieves an 80% retention rate for senior officers over a two-year period.

3.3 The company organises senior officer seminars to promote, emphasise and enhance the company’s safety management system.

3.4 Training for seafarers exceeds the minimum requirements of the STCW or of the relevant authority for vessel trade.

4.1 Company policy provides career opportunities for officers by providing shore-based assignments.

4.2 Management achieves an officer retention rate greater than 80% over a two-year period.

4.3 All officers attend company run seminars at least once every two years.

Element 4. Reliability and Maintenance Standards

1.1 Each vessel in the fleet is covered by a planned maintenance and defect reporting system.

1.2 Company management regularly reviews the vessel and fleet maintenance activity.

1.3 The company ensures that condition-of-Class (CoC), or equivalent, items are monitored and closed out as soon as possible.

2.1 There is a verification process in place to monitor the accuracy of all vessel certificates, in addition to the monitoring system onboard the vessel.

2.2 All compartments onboard are regularly inspected to ensure their integrity is maintained. Records are location specific and made on a standardised format that may include photographs as evidence of the space’s condition.

2.3 Responsible managers follow up on all required maintenance.

2.4 Responsible managers visit vessels to audit maintenance and defect correction plans.

2.5 The maintenance and defect reporting system alerts the staff responsible for maintenance onboard and ashore when items become due.

3.1 A common, computer-based maintenance system onboard each vessel records all planned maintenance

3.2 There is a formal shipyard repair list maintained onboard and/or ashore.

3.3 The company policy is to maintain an optimum spare parts inventory or system redundancy for all vessels

4.1 The maintenance and defect reporting system also monitors the vessel’s spares inventory and highlights any shortages.

4.2 The vessel’s maintenance and defect reporting system tracks all outstanding repair items, including dry-dock work lists.

4.3 There is a company system that tracks ALL fleet wide outstanding maintenance and defect items.

4.4 The maintenance plan includes proactive measures.

Element 4A. Reliability and Maintenance Standards (Critical Equipment)

1.1 Critical equipment and systems are defined and identified within the safety management system.

1.2 Critical equipment and systems are identified in the vessel’s planned maintenance system.

2.1 There are clear reporting requirements when critical systems, alarms or equipment become defective or require planned or unplanned maintenance.

3.1 Maintenance on critical equipment should follow defined procedures that include a risk assessment which requires approvals at the appropriate levels of management before the equipment is shut down.

3.2 If the agreed shutdown period for critical equipment or systems is to be exceeded, any extension or alternative actions will require review by shore management.

3.3 The vessel operator gives special attention to recording test and performance data for all critical equipment and systems

3.4 The vessel operator identifies and documents competency standards with regard to critical equipment and systems

4.1 No incidents or out-of-service times are attributable to a failure in managing the maintenance of critical equipment or systems and associated alarms

4.2 Critical equipment and systems should be treated as priority items in the fleet’s planned maintenance systems.

Element 4B. Reliability and Maintenance Standards (Close-Out Performance)

1.1 The number of outstanding planned maintenance tasks of non-critical equipment for individual vessels and the fleet as a whole is expressed as a percentage of the total number of monthly planned maintenance tasks.

2.1 The number of outstanding planned maintenance tasks of non-critical equipment for individual vessels and the fleet as a whole is expressed as a percentage of the total number of monthly planned maintenance tasks.

3.1 The number of outstanding planned maintenance tasks of non-critical equipment for individual vessels and the fleet as a whole is expressed as a percentage of the total number of monthly planned maintenance tasks.

4.1 The number of outstanding planned maintenance tasks of non-critical equipment for individual vessels and the fleet as a whole is expressed as a percentage of the total number of monthly planned maintenance tasks.

Element 5. Navigational Safety

1.1 The safety management system includes navigational procedures.

1.2 The vessel operator has procedures that achieve effective bridge resource management.

1.3 The vessel operator has identified shore-based staff who are responsible for maintaining navigational standards onboard vessels.

1.4 All navigational equipment, including electronic systems, lights, compass, communications and signalling equipment, is maintained fully operational. The company documents all defects and corrective actions.

1.5 Navigational procedures include a requirement for the Master to conduct audits, which are formally recorded, to ensure that all officers are complying with applicable navigational regulations and company procedures and are familiar with the vessel's navigation equipment and are using it properly.

2.1 The company has a documented process to conduct onboard navigational audits by shore personnel.

2.2 The vessel operator has a formal programme to ensure that deck officers receive appropriate ship handling training.

3.1 Chart supply is automated under a contract with a recognised chart agent.

3.2 Vessel operators provide bridge resource management training courses for all deck officers. These courses follow a set format.

4.1 Electronic charts are in use onboard company vessels.

4.2 Audit reports from the fleet are analysed and actions taken to improve procedures.

4.3 The vessel operator arranges independent, random navigational reviews across the fleet to check general navigational competence.

4.4 The vessel operator ensures that each deck officer attends approved ECDIS training

4.5 Deck officers undertake periodic bridge resource management simulator training at a recognised shore establishment.

Element 6. Offshore Operations (General)

1.1 The vessel operator has a documented procedure to ensure mooring equipment and practices comply with statutory regulations and industry best practices.

1.2 Where vessels are equipped to be spread moored, procedures are available that address requirements for mooring plans.

1.3 The vessel operator has procedures to address the control of lifting operations and the competence and training of personnel involved.

1.4 The vessel operator has a documented procedure to ensure that records are maintained of the inspection and replacement dates of wires, ropes, shackles and other gear used in lifting, rigging, mooring, securing, anchor handling, towing and other offshore applications.

1.5 There are documented procedures for the planning and execution of cargo, ballast and bunkering operations. Simplified stability information is provided if no stability computer is available onboard.

1.6 Procedures include the requirement for a suitably qualified person (designated officer/ PIC) to be responsible for ensuring compliance with the documented cargo, bunker and ballast plan.

1.7 The vessel operator has a documented procedure to ensure that hoses provided by the vessel are fit for purpose.

1.8 Procedures clearly define how cargo should be checked against manifests and the process for determining suitability for carriage and for rejecting unsuitable items or products.

1.9 The company has procedures in place that address the stowage, segregation and securing of deck cargo.

1.10 Procedures state that the Master/OIM is responsible at all times for the provision of safe access to the vessel and include guidance on how this may be achieved

1.11 Procedures include the requirements for the inspection, testing and certification of access equipment, including man-riding systems, and the training and competence of personnel.

1.12 Procedures exist to manage and control personnel numbers onboard the vessel at all times.

1.13 The company has procedures that address the operation of the vessel in ice or severe sub-zero temperatures.

1.14 The company has procedures in place that address helicopter operations, including winching and/or landing, as applicable.

1.15 The company has a documented procedure that defines appropriate minimum fuel stocks to be carried onboard.

2.1 The vessel operator has a documented procedure to ensure that unpredicted changes in environmental conditions and traffic movements are monitored to prevent the vessel breaking out from her moorings.

2.2 The company has formal procedures that require shore management oversight of spread mooring plans and operations.

2.3 The vessel operator has a lifting gear control programme that includes all lifting gear available on the vessel.

2.4 Liquid bulk cargo, ballast and bunkering procedures ensure independent monitoring of tank levels in addition to the primary gauging system.

2.5 Stability computers, where fitted, are regularly tested against Class-approved test data to ensure operational accuracy and test records are maintained

2.6 There is a documented system in place to ensure that the company audits cargo, bunker and, where applicable, ballast plans.

2.7 Procedures define limiting criteria, for the differing means of access, based on formal risk assessments.

2.8 Procedures exist to ensure that the identity and personal details of all persons onboard are documented both onboard and ashore.

2.9 The company has procedures that require vessels that operate in ice or severe sub-zero temperatures to have a winterisation notation issued by a Classification Society.

2.10 The company has procedures that recognise and address necessary changes to helideck layout and equipment when changing from one operational area to another

3.1 Procedures require that routine risk assessments are undertaken to demonstrate that mooring and lifting equipment is operated to ensure the safety of vessel personnel

3.2 A process exists that requires additional independent verification of plans for spread mooring.

3.3 The vessel operator has an enhanced lifting gear control programme that involves the routine replacement of all loose lifting and rigging gear on the vessel

3.4 There is a documented system in place to ensure that junior officers/relevant vessel staff are actively involved in the planning and execution of cargo, bunker and ballast operations

3.5 Where large numbers of personnel are involved, on a flotel for example, the company has introduced an enhanced personnel tracking system.

4.1 The company is actively involved with equipment manufacturers in the development of innovative technology.

4.2 Officers attend shore-based courses that provide interactive computer simulation training to ensure familiarity with operational and emergency procedures

Element 6A1. Offshore Operations (Specialised Activities - DP Operations)

1.1 The company has procedures that address DP operations

1.2 Procedures include a documented process to validate DP capability

1.3 The vessel operator has identified shore-based staff responsible for maintaining DP standards onboard vessels

1.4 The company has a policy that requires FME(C)A renewal at intervals not exceeding 5 years and procedures that address earlier revision following significant upgrades or modification to the DP system or its components

1.5 Management procedures require that all DP incidents are reported and investigated

2.1 The vessel operator has procedures for developing Field Specific Operating Guidelines (FSOGs).

2.2 Company procedures specify minimum manning requirements for DP operations

2.3 The company ensures that DPOs undergo conversion training, where appropriate

2.4 Management actively shares DP incident reports with the IMCA

3.1 The company has a programme that actively promotes and trains their own personnel for DP operations

3.2 The company only employs qualified deck officers as DPOs

3.3 The company ensures that all DP personnel take an active part in both annual and FME(C)A trials

4.1 The company provides DP personnel with additional training using simulators

Element 6A2. Offshore Operations (Specialised Activities - Anchor Handling & Towing)

1.1 The company has procedures that address DP operations.

1.2 Procedures include a documented process to validate DP capability

1.3 The vessel operator has identified shore-based staff responsible for maintaining DP standards onboard vessels.

1.4 The company has a policy that requires FME(C)A renewal at intervals not exceeding 5 years and procedures that address earlier revision following significant upgrades or modification to the DP system or its components.

1.5 Management procedures require that all DP incidents are reported and investigated

2.1 The vessel operator has procedures for developing Field Specific Operating Guidelines (FSOGs).

2.2 Company procedures specify minimum manning requirements for DP operations

2.3 The company ensures that DPOs undergo conversion training, where appropriate

2.4 Management actively shares DP incident reports with the IMCA

3.1 The company has a programme that actively promotes and trains their own personnel for DP operations.

3.2 The company only employs qualified deck officers as DPOs.

3.3 The company ensures that all DP personnel take an active part in both annual and FME(C)A trials.

4.1 The company provides DP personnel with additional training using simulators.

Element 6A3. Offshore Operations (Specialised Activities - Geophysical & Geotechnical)

1.1 There is a documented procedure for the conduct of geophysical and/or geotechnical operations.

1.2 Procedures are in place to address the launching, recovery, safe access and use of work boats

1.3 The company has a documented procedure to address Simultaneous Operations (SIMOPS) and close proximity work.

1.4 Procedures require a bridging document to be in place prior to mobilisation when the survey crew is not contracted by the vessel operator

1.5 The company has procedures to ensure compliance with marine sound regulations for geophysical and appropriate geotechnical surveys

2.1 Procedures are in place to address bunkering operations when under way, if applicable

2.2 Company procedures cover support craft activities that include routine and emergency operations.

2.3 The company has a process to conduct risk assessments to determine the impact of sound on marine life and protected species

3.1 The company has procedures aimed at minimising the effects of survey operations on marine life that exceed regulatory requirements

3.2 The company has a policy requiring the use of solid/gel-filled streamers

4.1 The company uses technology to monitor the level and consequence of audible noise experienced by marine life and protected species

Element 6A4. Offshore Operations (Specialised Activities - Heavy lift operations)

1.1 Procedures are in place for the formal planning of all heavy lifts and their transportation, whether using crane, A-frame or lift vessel.

1.2 The company has procedures to address the competence and training of personnel involved in the specialist roles of the vessel.

1.3 For lift vessels, the company has access to skilled naval architects and engineers to develop stowage and sea fastening plans and calculations.

1.4 Where the lift is carried out by ballasting or de-ballasting the vessel, procedures require an FME(C)A to be in place covering bilge and ballast systems

2.1 The company requires independent validation of calculations associated with heavy lift operations

2.2 Company utilises weather forecasting and routeing services

3.1 The company utilises simulator training as a development and competency assessment tool for vessel personnel involved in lifting and transportation operations

3.2 The company has access to transportation analysis on a continuous basis

4.1 The company’s calculations include an assessment of the effect of transportation loads on the cargo

4.2 The company’s vessels have ‘live’ vessel motion sensing capability.

Element 6B. Offshore Operations (Management of Contractors)

1.1 The company has a process in which its contractors are evaluated and selected using defined criteria

1.2 There is a mechanism in place to ensure that the scope of work is defined clearly to contractors and sub contractors

1.3 The company defines and communicates requirements for the provision of suitable equipment

1.4 The company defines and communicates requirements for the provision of personnel resources

1.5 The company defines and communicates requirements for contractor working practices

1.6 Where a client appoints contractors, the company has a documented process to ensure that the roles and responsibilities of all parties are agreed and defined.

2.1 The company monitors and assesses the HSE performance of contractors

2.2 The company only uses contractors that have safety management systems that meet defined requirements

2.3 Plans for project or technical requirements are jointly developed with the contractor

3.1 The company requires that contractors have a process for self measurement, continuous improvement and reporting of agreed KPIs to the company

4.1 The company requires that contractors’ standard operating procedures are fully aligned with the company’s SMS

Element 7. Management of Change

1.1 The vessel operator has a documented procedure for management of change

1.2 The management of change process clearly defines the level of authority required for the approval of a change.

2.1 The company uses risk assessment to evaluate the impact of proposed changes

2.2 The system ensures that training needs arising from changes to equipment or procedures are identified and documented.

2.3 Management of change records are kept for verification purposes

2.4 The vessel operator has documented staff handover procedures for both shore-based personnel and vessel crews.

2.5 The vessel operator has a documented familiarisation process for both shore-based personnel and vessel crews

3.1 The system ensures that drawings, procedures and other technical documents are updated following the inclusion of any additional equipment, changes or modifications.

3.2 Procedures include provisions for the familiarisation of shore-based managers and crew with newly acquired vessels, or major modifications to existing vessels, entering into the fleet ownership/management.

4.1 There is a documented annual review of the impact of all changes to ensure objectives have been met.

4.2 For major changes to the shore organisation, the management of change procedure should require a detailed review of the impact on the organisation and on the management system.

Element 7A. Management of Change

1.1 The vessel operator has a management of change process that ensures all temporary and permanent changes to procedures or equipment onboard the vessel are subject to risk assessment

2.1 The system ensures that the documentation supporting a change includes the reason for the change, a clear understanding of the safety and environmental implications, and the appropriate level of approval

3.1 The management of change process ensures that any changes made are communicated to personnel affected by the change

3.2 The system ensures that the potential consequences of a change are identified, together with any required risk-reduction measures

4.1 The management of change system also ensures that temporary changes do not exceed the initial authorisation for scope or time without review and re-approval by the appropriate level of management.

4.2 The system ensures that changes not carried out within the proposed timescale are reviewed and revalidated

Element 8. Incident Investigation and Analysis

1.1 The fleet operator has procedures that ensure prompt reporting and investigation of all incidents, accidents and near misses

1.2 The vessel operator has procedures that ensure the fleet is rapidly notified of urgent safety-related information

1.3 The reporting procedure ensures any breaches of regulations are identified.

2.1 The vessel operator has a procedure that defines responsibilities for reporting an incident, conducting the investigation and taking subsequent actions

2.2 The person appointed to lead the investigation is not connected with the incident.

2.3 The vessel operator uses the conclusions from the investigation to reduce the risk of any recurrence or related incidents.

3.1 The incident-investigation process ensures that the root causes and factors contributing to an incident or accident are clearly identified

3.2 The incident analysis process ensures that the lessons learnt from an incident or near miss are shared across the fleet

4.1 The vessel operator has procedures to share lessons with industry groups, where appropriate.

4.2 The vessel operator has procedures to share lessons with the marine quality assurance departments of clients and charterers

Element 8A. Incident Investigation and Analysis (Training)

1.1 The appointed investigation leader/team has been trained in incident investigation

2.1 External training in incident investigation techniques, including root-cause analysis, is given to at least one of the shore-based management teams

3.1 There is a documented procedure to ensure that, where possible, practical experience in incident investigation is obtained.

3.2 When relevant staff are recruited or appointed, they receive appropriate incident investigation training

4.1 Procedures require that incident investigation refresher training takes place after an appropriate period.

Element 9. Safety Management (Shore-Based Monitoring)

1.1 Shore-based managers arrange regular onboard visits to monitor the safety standards and training across the fleet. A formal record of these visits is kept within the office

1.2 Following vessel visits, recommendations for improvement are made to senior management

1.3 Formal safety meetings are conducted with officers and crew during shore management visits to vessels

1.4 The vessel operator’s procedures include a documented risk assessment process to systematically identify potential hazards and manage operational risks fleetwide. The risk assessment process also includes provision for assessing new or non-routine tasks

1.5 The vessel operator has a documented permit to work and isolation system

2.1 Records of all valid/current risk assessments are maintained at relevant locations

2.2 Preventive measures and alternative methods of work to ensure safe completion of work are identified and documented in the risk assessment process

2.3 Remedial action plans are developed that contain details of the closing-out of the preventive measures identified in the initial risk assessment

3.1 Shore-based management regularly reviews the validity of risk assessments and ensures that any common risk assessments are applied across the fleet

3.2 The risk assessment processes should include response elements to limit the impact of any unplanned occurrences

3.3 Senior management establishes and supports proactive safety campaigns.

3.4 Appropriate company representatives make extended visits to all vessels within the fleet to verify safety standards and ensure that safety training programmes are effectively implemented

4.1 Company management reviews and collates all onboard risk assessments to check that standards are consistent

4.2 The company issues periodic (at least quarterly) safety-related bulletins/publication(s).

Element 9A. Safety Management (Fleet Monitoring)

1.1 The responsible person onboard conducts safety inspections at scheduled intervals and the results are recorded

1.2 Significant safety deficiencies that cannot be rectified by vessel staff are immediately reported to company management

1.3 Onboard safety meetings are held at least monthly and as soon as possible after any serious incident or accident within the company

1.4 There is a formalised system onboard to identify hazards during work planning

2.1 At monthly safety meetings, the agenda includes safety monitoring and confirmation that all vessel- based safety procedures are being complied with.

2.2 Drills and safety exercises are used to determine and record the training needs of individual employees and records are maintained onboard and/or ashore

2.3 The vessel operator has a formal documented risk-assessment process onboard, and relevant crew members have been trained in hazard identification and risk assessment

3.1 The vessel’s management team promotes a strong, proactive safety culture onboard and all crew members are encouraged to be involved in proactive safety campaigns and work methods

3.2 Company safety policy requires that senior officers and managers always lead by example in safety related issues.

3.3 The company sends officers and crew on safety training courses in excess of statutory requirements

3.4 Safety best practice identified on individual vessels is transferred across the fleet

4.1 There is a system in place for vessel staff to communicate ideas for improving safety to shore management

4.2 The company actively seeks modern safetytraining material and courses that can be used for onboard and shore based training

Element 10. Environmental Management

1.1 An environmental policy has been developed, signed by senior management and distributed/made available to all within the company

1.2 The company has processes in place aimed at ensuring all effluent discharges are within permitted levels or are prohibited

1.3 All sources of marine and atmospheric pollution attributable to company activities have been systematically identified

1.4 The company has systems to identify emerging requirements for environmental protection

2.1 Plans to minimise or further reduce marine and atmospheric pollution attributable to company activities are under development with defined priorities and a timescale for action

2.2 The vessel operator has a system to identify the actions needed to comply with new regulations

2.3 The company has clearly assigned management responsibility for each environmental issue

3.1 The vessel operator has a system for auditing and reporting progress on pollutant reduction

3.2 Pollutant reduction targets are set in the company business plan.

4.1 The company has an environmental action plan

4.2 The company has developed and maintains a long term (a five-year minimum) environmental operations and business plan

4.3 Environmental performance is benchmarked across the fleet and against the offshore/marine industry as a whole

Element 10A. Environmental Management

1.1 The vessel operator has a system to monitor and reduce waste onboard all vessels in the fleet.

1.2 The company has identified areas of performance that will improve environmental care and has developed appropriate action plans

1.3 The vessel operator has fleet-wide systems to monitor and ensure compliance with existing company policy.

2.1 The company has management systems to ensure environmentally critical equipment is reliable and that adequate levels of spares are carried

2.2 Where applicable, each vessel has a ballast water management plan.

2.3 The vessel operator has a policy to ensure purchase and supply activities continue to be more environmentally protective

3.1 The company maximises energy efficiency to minimise CO2 emissions onboard its vessels

3.2 The company can demonstrate that it is taking measures to comply with known future regulations and legislation.

3.3 Waste reduction management is undertaken throughout the fleet and on all voyages

4.1 Improvements that enhance environmental performance are included into new-build design and vessel operating practices

4.2 The company employs/adheres to environmentally sound ship recycling practices

Element 11. Emergency Preparedness and Contingency Planning

1.1 The company has detailed shore and vessel contingency plans that cover all credible emergency scenarios.

1.2 Emergency procedures include effective notification procedures and communication links for rapidly alerting the emergency response team

1.3 Vessel and shore-based contingency plans have clearly defined roles, responsibilities and record keeping procedures

1.4 The company ensures that each vessel is provided with basic damage stability information

2.1 The company provides adequate emergency response facilities

2.2 Individuals are trained in their designated emergency response roles

2.3 Lessons learnt from exercises and actual incidents are incorporated into the emergency response plans when they are updated

3.1 Alternative members for key positions in the emergency response teams have been identified and trained.

3.2 Alternative members are included in the planned exercises and drills.

3.3 Company should ensure that vessels have 24 hour access to vessel-specific advice on damage stability and structural integrity

4.1 The company has in place necessary arrangements to use external resources in an emergency.

4.2 External or additional resources are used to provide more realistic drills and exercises

Element 11A. Emergency Preparedness and Contingency Planning

1.1 Incident scenarios for exercises fully test the contingency plans.

1.2 A major exercise is carried out at least annually

2.1 The scope of an exercise is consistent with the size and composition of the fleet and its trading patterns

2.2 Stakeholders are involved in the planning and execution of major exercises

2.3 Results of exercises and drills are documented and analysed to identify lessons learnt

3.1 Exercises provide a comprehensive test of all communication and mobilisation systems

3.2 Exercises allow the participation of a significant number of individuals

4.1 Drills and exercises test the effectiveness of arrangements to call on external consultants and resources

Element 12. Measurement, Analysis and Improvement

1.1 A company-specific format is used for conducting and recording vessel inspections

1.2 There is a company system for tracking and closing-out findings from internal and external inspections

1.3 The company has an inspection plan that covers all vessels in the fleet, with at least one inspection of each vessel per annum

2.1 The format is of a standard that is at least equivalent to the vessel inspection reports issued by industry bodies such as OCIMF or IMCA

2.2 The standard format measures the level of compliance with company and regulatory requirements

3.1 The company analyses its inspection results and compares them with data from third-party inspections (such as OVID or CMID) and makes comparisons between vessels within the fleet, particularly with any vessels built to a similar design and specification

3.2 The company has a system that clearly demonstrates the status of the recorded deficiencies through to close-out

4.1 Information from the analyses of these inspections is fed into a continuous improvement process

4.2 The results of vessel inspections are analysed to identify trends and common problems

Element 12A. Measurement, Analysis and Improvement

1.1 The company has established a consistent audit format and process.

1.2 All auditors are appropriately trained and certificated

1.3 The company has an audit plan that covers shore and vessel locations.

1.4 The company has a system to monitor the close-out of audit findings

2.1 Audit results are reported as soon as is reasonably practicable

2.2 Audits are performed in line with the audit plan

3.1 The company maintains records to demonstrate that all actionable items have been closed out as soon as is reasonably practicable

4.1 Audit results drive continuous improvement of the management system

4.2 The company identifies trends by performing a formal analysis of audit results at least annually

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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.