Surveyor and Auditor Procedures for Subchapter M

Transcription

1 Surveyor and Auditor for Subchapter M Contents 1. Definitions The survey process Application forms Executing the external survey program for the COI certification under of Subchapter M Executing the external survey program for the Drydock and Internal Structural Surveys under of Subchapter M The audit process for a TSMS certificate under of Subchapter M What Checklist/Audit Report do I Use? Issuing a Non-Conformity or Observation Type of Audits and Certificates Invoicing and Reimbursing Page 1

2 1. Definitions Anniversary date means the day and the month of each year that corresponds to the date of expiration on the COI or Towing Safety Management System (TSMS) Certificate. Audit means a systematic, independent, and documented examination to determine whether activities and related results comply with a vessel s TSMS, or with another applicable Safety Management System (SMS), and whether these planned arrangements are implemented suitably to achieve stated objectives. This examination includes a thorough review of appropriate reports, documents, records, and other objective evidence to verify compliance with applicable requirements. (1) The audit may include, but is not limited to: (i) Examining records; (ii) Asking responsible persons how they accomplish their assigned duties; (iii) Observing persons performing specific tasks within their assigned duties; (iv) Examining equipment to ensure proper maintenance and operation; and (v) Checking training records and work environments. (2) The audit may be limited to the random selection of a representative sampling throughout the system that presents the auditor with sufficient, objective evidence of system compliance. Class Rules means the standards developed and published by a classification society regarding the design, construction, and certification of commercial vessels. Cold water means water where the monthly mean low water temperature is normally 15 degrees Celsius (59 degrees Fahrenheit) or less. Commandant means the Commandant of the U.S. Coast Guard or an authorized representative of the Commandant of the U.S. Coast Guard. Conflict of interest means a conflict between an individual s or an organization s private interests and the interests of another party they are providing a service to or for, including when acting in a capacity which serves the public good. Crewmember means crewmember as defined in 46 CFR Deficiency means a failure to meet the minimum requirements of the vessel inspection laws or regulations. Drydock examination means hauling out a vessel or placing a vessel in a drydock or slipway for an examination of all accessible parts of the vessel s underwater body and of all through-hull fittings and appurtenances. Page 2

3 Engine room means the enclosed space where any main-propulsion engine is located. It comprises all deck levels within that space. Essential system means a system that is required to ensure a vessel s survivability, maintain safe operation, control the vessel, or to ensure safety of onboard personnel, including: (1) Systems for: (i) Detection or suppression of fire; (ii) Emergency dewatering or ballast management; (iii) Navigation; (iv) Internal and external communication; (v) Vessel control, including propulsion, steering, maneuverability and their vital auxiliaries; (vi) Emergency evacuation and abandonment; (vii) Lifesaving; and (viii) Control of a tow; (2) Any critical system identified in a SMS compliant with the International Safety Management (ISM) Code requirements of 33 CFR part 96; and (3) Any other marine engineering system identified in an approved TSMS or identified by the cognizant Officer in Charge, Marine Inspection (OCMI) as essential to the vessel s survival, ability to maintain safe operation, ability to control the vessel, or to ensure the safety of onboard personnel. External audit means an audit conducted by Decatur Marine according to in conjunction with of Subchapter M. External management audit checklist means the checklist developed for conducting the external management audit as provided by of Subchapter M. External Survey Checklist means the relevant checklist developed for conducting the external survey as provided by and of the Subchapter M. External Survey for Drydock and Internal Structural Checklist means the relevant checklist developed for conducting the drydock examination as provided by of Subchapter M. External Survey program means a survey program conducted by Decatur Marine according to or of Subchapter M. External Survey report means the report issued by TSMS Operations for the purposes of and of the Subchapter M. Internal Audit means an audit that is conducted by a party that has a direct affiliation to the vessel, owner, or managing operator being audited. Page 3

4 Internal survey program means a survey program that is conducted by a party which has a direct affiliation to the vessel, owner, or managing operator being surveyed. Machinery space means any enclosed space that either contains an installed internal combustion engine, machinery, or systems that would raise the ambient temperature above 45 degrees Celsius (113 degrees Fahrenheit) in all environments the vessel operates in. Major conversion means a conversion of a vessel that: (1) Substantially changes the dimensions or carrying capacity of the vessel; (2) Changes the type of the vessel; (3) Substantially prolongs the life of the vessel; or (4) Otherwise so changes the vessel that it is essentially a new vessel, as determined by the Commandant. Major non-conformity means a non-conformity that poses a serious threat to personnel, vessel safety, or the environment, and requires immediate corrective action. Managing operator means an organization or person, such as the manager or the bareboat charterer of a vessel, who has assumed the responsibility for operation of the vessel from the vessel owner and who, on assuming responsibility, has agreed to take over all the duties and responsibilities imposed by this subchapter. New towing vessel means a towing vessel, subject to inspection under Subchapter M, that: (1) Had its keel laid or was at a similar stage of construction on or after July 20, 2017; or (2) Underwent a major conversion that was initiated on or after July 20,2017. Non-conformity means a situation where objective evidence indicates that a specified SMS requirement is not fulfilled. Objective evidence means quantitative or qualitative information, records, or statements of fact pertaining to safety or to the existence and implementation of an SMS element, which is based on observation, measurement, or testing that can be verified. This may include, but is not limited to, towing gear equipment certificates and maintenance documents, training records, repair records, Coast Guard documents and certificates, surveys, classification society reports, or TPO records. Officer in Charge, Marine Inspection or OCMI means an officer of the Coast Guard designated as such by the Coast Guard and who, under the direction of the Coast Guard District Commander, oversees a marine inspection zone, described in 33 CFR part 3, for the performance of duties with respect to the inspection, enforcement, and administration of vessel safety and navigation laws and regulations. The cognizant OCMI is the OCMI who has immediate authority over a vessel for performing these duties. Owner means the owner of a vessel, as identified on the vessel s certificate of documentation or state registration. Page 4

5 Policy means a specific statement of principles or a guiding philosophy that demonstrates a clear commitment by management, or a statement of values or intentions that provide a basis for consistent decision making. Procedure means a specification of a series of actions or operations that must be executed in the same manner to uniformly comply with applicable policies. Safety Management System or SMS means a structured and documented system that enables personnel involved in vessel operations or management, as identified in the SMS, to effectively implement the safety and environmental protection requirements of this subchapter, and is routinely exercised and audited. Survey means an examination of the vessel, including its systems and equipment, to verify compliance with applicable regulations, statutes, conventions, and treaties. Towing vessel means a commercial vessel engaged in or intending to engage in the service of pulling, pushing, or hauling alongside, or any combination of pulling, pushing, or hauling alongside. Towing Safety Management System or TSMS means an SMS for a towing vessel as described in part 138 of Subchapter M. Unsafe condition means a major nonconformity observed on board a vessel, or an incident that would cause the owner or managing operator to request a permit to proceed from the Coast Guard. Unsafe practice means a habitual or customary action or method, or a single action, that creates a significant risk of harm to life, property, or the marine environment, or that contravenes a recognized standard of care contained in law; regulation; applicable international convention; or international, national, or industry consensus standard. Warm water means water where the monthly mean low water temperature is normally more than 15 degrees Celsius (59 degrees Fahrenheit). 2. The Survey Process 2.1 Application forms A company that desires to carry out an external survey, will contact the TSMS Coordination Center in Dulles, Virginia, USA. (Here in after referred to as Center ). An application will be sent by the company to the Center with company s and vessels details determining whether the application is made for the external survey program to obtain the COI certification under of Subchapter M or the application is made for the external Drydock and Internal Structural Surveys program as provided by and of the Subchapter M. Page 5

6 Once received from a company, the application will be forwarded to the Decatur Marine Surveyor (here in after referred to as the Surveyor ) with a request to confirm availability and any additional travel expenses that may apply. When the surveyor confirms and the company accepts any additional expenses, a confirmation letter will be sent to the company and surveyor. 2.2 Executing the external survey program for the COI certification under of Subchapter M The following is the standard sequence of an external survey program for the COI certification under of Subchapter M: Preparation of executing the external survey under of Subchapter M. The surveyor should verify before carrying out the survey that the date of the survey is within 3 months of the anniversary date of the COI. Also, the surveyor must ensure that the TSMS is available on board the vessel and that includes policies and procedures for complying with of Subchapter M Opening Meeting. The surveyor will conduct the opening meeting in the presence of the Master, Senior Officers, and Designated Person(s) if present, and other crew members to Master s discretion The Survey When conducting an external survey of a towing vessel as required by of Subchapter M, the surveyor must determine that the item or system functions as designed, is free of defects or modifications that reduce its effectiveness, is suitable for the service intended, and functions safely in a manner consistent for vessel type, service, and route. The surveyor will use throughout the survey the appropriate External Survey Checklist and note all remarks on the checklist. The survey must be conducted as per the External Survey Checklist with the following guidance. The following items shall be verified at an initial stage during the survey: (a) A review of certificates and documentation held on the vessel; (b) A visual examination and tests of the vessel and its equipment and systems, to confirm that their condition is properly maintained and that proper quantities are onboard; Page 6

7 (c) A visual examination of the systems used in support of drills or training to determine that the equipment utilized during a drill operates as intended; and (d) A visual examination to confirm that unapproved modifications were not made to the vessel or its equipment. Furthermore, the following items shall be verified during the survey: (a) TSMS. (1) Verify that the vessel is enrolled in a TSMS that complies with part 138 of the Subchapter M. (2) Verify that the policies and procedures applicable to the vessel are available to the crew. (3) Verify that recordkeeping requirements are met. (b) Hull structure and appurtenances. Verify that the vessel complies with part 144 of the Subchapter M, examine the condition of, and where appropriate, witness the operation of the following: (1) All accessible parts of the exterior and interior of the hull, the watertight bulkheads, and weather decks. (2) All watertight closures in the hull, decks, and bulkheads, including through hull fittings and sea valves. (3) Superstructure, masts, and similar arrangements constructed on the hull. (4) Railings and bulwarks and their attachments to the hull structure. (5) The presence of appropriate guards or rails. (6) All weathertight closures above the weather deck and the provisions for drainage of sea water from the exposed decks. (7) Watertight doors, verifying local and remote operation and proper fit. (8) All accessible interior spaces to ensure that they are adequately ventilated and drained, and that means of escape are maintained and operate as intended. (9) Vessel markings. (c) Machinery, fuel, and piping systems. Verify that the vessel complies with applicable requirements contained in part 143 of the Subchapter M, examine the condition of, and where appropriate, witness the operation of: Page 7

8 (1) Engine control mechanisms, including primary and alternate means, if the vessel is equipped with alternate means, of starting machinery, directional controls, and emergency shutdowns; (2) All machinery essential to the routine operation of the vessel, including generators and cooling systems; (3) All fuel systems, including fuel tanks, tank vents, piping, and pipe fittings; (4) All valves in fuel lines, including local and remote operation; (5) All overboard discharge and intake valves and watertight bulkhead pipe penetration valves; (6) Means provided for pumping bilges; and (7) Machinery shut-downs and alarms. (d) Steering systems. Examine the condition of, and where appropriate, witness the operation of: (1) Steering systems and equipment ensuring smooth operation; (2) Auxiliary means of steering, if installed; and (3) Alarms. (e) Pressure vessels and boilers. Verify that the vessel complies with applicable requirements in part 143 of the Subchapter M. (f) Electrical. Verify that the vessel complies with applicable requirements in part 143 of the Subchapter M, examine the condition of, and where appropriate, witness the operation of: (1) All cables, as far as practicable, without undue disturbance of the cable or electrical apparatus; (2) Circuit breakers, including testing by manual operation; (3) Fuses, including ensuring the ratings of fuses are suitable for the service intended; (4) All generators, motors, lighting fixtures, and circuit interrupting devices; (5) Batteries including security of stowage; (6) Electrical equipment, which operates as part of or in conjunction with a fire detection or alarm system installed onboard, to ensure operation in case of fire; and Page 8

9 (7) All emergency electrical systems, including any automatic systems if installed. (g) Lifesaving. Verify that the vessel complies with applicable requirements contained in part 141 of Subchapter M and examine the condition of lifesaving equipment and systems as follows: (1) Verify that the vessel is equipped with the required number of lifejackets, work vests, and immersion suits. (2) Verify the serviceable condition of each lifejacket, work vest, and marine buoyant device. (3) Verify that each item of lifesaving equipment found to be defective has been repaired or replaced. (4) Verify that each lifejacket, other personal floatation device, or other lifesaving device found to be defective and incapable of repair was destroyed or removed. (5) Verify that each piece of expired lifesaving equipment has been replaced. (6) Examine each survival craft and launching appliance in accordance with Subchapter M. (7) Verify the servicing of each inflatable life raft, inflatable buoyant apparatus, and inflatable lifejacket as required by Subchapter M. (8) Verify the proper servicing of each hydrostatic release unit, other than a disposable hydrostatic release unit, as required under Subchapter M. (9) Verify that the vessel s crew conducted abandon ship and man overboard drills under simulated emergency conditions. (h) Fire protection. Verify that the vessel complies with applicable requirements contained in part 142 of this subchapter, and examine or verify the fire protection equipment and systems as follows: (1) Verify that the vessel is equipped with the required fire protection equipment for the vessel s route and service. (2) Verify that the inspection, testing, and maintenance as required by of the Subchapter M are performed. (3) Verify that the training requirements of of the Subchapter M are carried out. Page 9

10 (i) Towing gear. Verify that the vessel complies with the applicable requirements in parts 140 of the Subchapter M, and examine or verify the condition of, and where appropriate, the operation of the following: (1) Deck machinery including controls, guards, alarms, and safety features. (2) Hawsers, wires, bridles, push gear, and related vessel fittings for damage or wear. (3) Verify that the vessel complies with 33 CFR part 164, if applicable. (j) Navigation equipment. Verify that the vessel complies with the applicable requirements in part 140 of the Subchapter M, and examine or verify the condition of and, where appropriate, the operation of the following: (1) Navigation systems and equipment. (2) Navigation lights. (3) Navigation charts or maps appropriate to the area of operation and corrected up to date. (4) Examine the operation of equipment and systems necessary to maintain visibility through the pilothouse windows. (5) Verify that the vessel complies with 33 CFR part 164, if applicable. (k) Sanitary examination. Examine the quarters, toilet and washing spaces, galleys, serving pantries, lockers, and similar spaces to ensure that they are clean and decently habitable. (l) Unsafe practices. (1) Verify that all observed unsafe practices, fire hazards, and other hazardous situations are corrected, and that all required guards and protective devices are in satisfactory condition. (2) Verify that bilges and other spaces are free of excessive accumulation of oil, trash, debris, or other matter that might create a fire hazard, clog bilge pumping systems, or block emergency escapes. (m) Vessel personnel. Page 10

11 Verify that the: (1) Vessel is manned in accordance with the vessel s COI; (2) Crew is maintaining vessel logs and records in accordance with applicable regulations and the TSMS appropriate to the vessel; (3) Crew is complying with the crew safety and personnel health requirements of part 140 of this subchapter; and (4) Crew has received training required by parts 140, 141, and 142 of this subchapter. (n) Prevention of oil pollution. Examine the vessel to ensure compliance with the oil pollution prevention requirements in of this subchapter. (o) Miscellaneous systems and equipment. Examine all items in the vessel s outfit, such as ground tackle, markings, and placards that are required to be carried in accordance with the regulations in this subchapter. Beyond the minimum standards required above, the thoroughness and stringency of the survey will depend upon the condition of the vessel and its equipment. If a surveyor finds a vessel to have multiple deficiencies indicative of systematic failures to maintain the installed equipment, he will conduct an expanded examination to ensure all deficiencies are identified and corrective action is promptly taken while he will contact TSMS Operations to report in case of major deficiencies that impose a serious threat to the safety of the ship Closing meeting In principle, the same personnel as in the opening meeting will attend the closing meeting where the Surveyor will present all items listed in External Survey Checklist Reporting to TSMS Operations After carrying out the survey as described above the Surveyor will prepare and issue the Survey report which will send to TSMS Operations and which must include: (1) Vessel name; (2) Other vessel identifier, such as an official number or State number; Page 11

12 (3) Name and business address of owner or managing operator; (4) Date and location of the survey; (5) Date the report of the survey was issued, if different than the date the survey was concluded; (6) Name of the surveyors; (7) Name and business address of: Decatur Marine Audit & Survey (8) Signatures of surveyors; (9) A descriptive list of the items examined or witnessed during the survey as required above and by the External Survey Checklist; (10) A descriptive list of all nonconformities identified during each survey, including those that were corrected during the survey; (11) A descriptive list of: (i) All non-conformities remaining at the end of each survey; (ii) The required corrective actions; (iii) The latest date of required corrective action; (iv) A description of how the corrective actions were verified; (12) A descriptive list of items that need to be repaired or replaced before the vessel continues service; and (13) A statement that the vessel complies with the applicable requirements of this subchapter and is fit for its route and service, subject to the correction of non-conformities Issuing of the External Survey Report in the case the vessel was following the requirements: In the case where according to the Surveyor s report, there were no Non- Conformities identified onboard the vessel, then TSMS Operations will issue the final External Survey Report based on the External Survey report received by the Surveyor with the statement that the vessel is fit for its route and service Actions of TSMS Operations in case of Non- Conformities being raised during the External Survey a) Contact the client to collect and review all outstanding Non- Conformities and related Corrective Actions. b) If no Corrective Action plan has been submitted after 30 days of a Non-Conformity being raised then TSMS Operations will issue a final External Survey Report based on the Page 12

13 Surveyor s report as described under above with the statement that the vessel is fit for its route and service subject to the correction of the reported non-conformities. c) The Corrective Actions provided in response to the Non-Conformities must be accepted by TSMS Operations. d) The vessel should provide evidence that the Corrective Actions have been implemented on board the vessel. e) Once the above has been completed to the attending Surveyor s satisfaction, the Non- Conformities can be closed out by the surveyor signing the bottom of the Non- Conformity and Observation Note. f) Once the Non-Conformities are closed out on the Non- Conformity and Observation Note, a copy of this form shall be sent to TSMS Operations with the Surveyor s Report. g) Once the Surveyor s Report with the closed Non-Conformities is received, TSMS Operations will issue the final External Survey Report with the statement that the vessel is fit for its route and service. 2.3 Executing the external survey program for the Drydock and Internal Structural Surveys under of Subchapter M The following is the standard sequence of an external survey program for the Drydock and Internal Structural Surveys under of Subchapter M: Preparation of executing the external survey under of Subchapter M. The surveyor should verify before carrying out the survey that the vessel is examined at the intervals prescribed in of Subchapter M. Moreover, the surveyor must ensure that the TSMS applicable to the vessel included policies and procedures for complying with the requirements of Subpart C of the Subchapter M and that the external survey program is selected as an objective evidence of compliance as provided in of Subchapter M Opening Meeting The surveyor will conduct the opening meeting in the presence of the Master, Senior Officers, and Designated Person(s) if present, and other crew members to Master s discretion The Survey Page 13

14 When conducting an external survey of a towing vessel as required by of Subchapter M, the surveyor must determine whether any defect, deterioration, damage, or modifications of the hull and related structure and components may adversely affect the vessel s seaworthiness or fitness or suitability for its route or service. The examination must include: 1) Access to internal spaces as appropriate; 2) A visual examination of the external structure of the vessel to confirm that the condition is properly maintained; and 3) A visual examination to confirm that unapproved modifications were not made to the vessel. The surveyor will use throughout the survey the appropriate External Survey for Drydock and Internal Structural Checklist and note all remarks on the checklist. The survey must be conducted as per the External Survey for Drydock and Internal Structural Checklist with the following guidance. The thoroughness and stringency of the examination will depend upon the condition of the vessel. The following items shall be verified by the surveyor during the drydock examination while the vessel is hauled out of the water or placed in a drydock or slipway: 1) Examine the exterior of the hull, including bottom, sides, head, and stern, and examine all appendages for damage, fractures, wastage, pitting, or improper repairs; 2) Examine each tail shaft for bends, cracks, and damage, including the sleeves or other bearing contact surfaces on the tail shaft for wear. The tail shaft need not be removed for examination if these items can otherwise be properly evaluated; 3) Examine the rudders for damage, the upper and lower bearings for wear, and the rudder stock for damage or wear. Rudders need not be removed for examination if these items can otherwise properly be evaluated. This also included other underwater components of steering and propulsion mechanisms; 4) Examine the propellers for cracks and damage; 5) Examine the exterior components of the machinery cooling system for leaks, damage, or deterioration; 6) Open and examine all sea chests, through-hull fittings, and strainers for damage, deterioration, or fouling; and Page 14

15 7) On wooden vessels, pull fastenings as required for examination. The internal structural examination maybe conducted while the vessel is afloat or while it is out of the water. It consists of a complete examination of the vessel s main strength members, including the major internal framing, the hull plating and planking; voids; and ballast, cargo, and fuel oil tanks. Where the internal framing, plating, or planking of the vessel is concealed, sections of the lining, ceiling, or insulation may be removed or the parts otherwise probed or exposed to determine the condition of the hull structure. Fuel oil tanks need not be cleaned out and internally examined if the general condition of the tanks is determined to be satisfactory by an external examination Closing meeting In principle, the same personnel as in the opening meeting will attend the closing meeting where the Surveyor will present all items listed in External Survey Checklist Reporting to TSMS Operations After carrying out the survey as described above the Surveyor will prepare and issue the Survey report which will send to TSMS Operations and which must include: (1) Vessel name; (2) Other vessel identifier, such as an official number or State number; (3) Name and business address of owner or managing operator; (4) Date and location of the survey; (5) Date the report of the survey was issued, if different than the date the survey was concluded; (6) Name of the surveyors; (7) Name and business address of Decatur Marine Audit & Survey (8) Signatures of surveyors; (9) A descriptive list of the items examined or witnessed during the survey as required above and by the External Survey Checklist; (10) A descriptive list of all nonconformities identified during each survey, including those that were corrected during the survey; (11) A descriptive list of: (i) All non-conformities remaining at the end of each survey; (ii) The required corrective actions; Page 15

16 (iii) The latest date of required corrective action; (iv) A description of the means, by which the corrective actions were verified; (12) A descriptive list of items that need to be repaired or replaced before the vessel continues service; and (13) A statement that the vessel complies with the applicable requirements of this subchapter and is fit for its route and service, subject to the correction of non-conformities Issuing of the External Survey Report in the case the vessel was in compliance with the requirements In the case where according to the Surveyor s report, there were no Non- Conformities identified onboard the vessel, then TSMS Operations will issue the final External Survey Report based on the External Survey report received by the Surveyor with the statement that the vessel is fit for its route and service Actions of TSMS operations in case of Non- Conformities being raised during the External Survey a) Contact the client to collect and review all outstanding Non- Conformities and related Corrective Actions. b) If no Corrective Action plan has been submitted after 30 days of a Non-Conformity being raised then TSMS Operations will issue a final External Survey Report based on the Surveyor s report as described under above with the statement that the vessel is fit for its route and service subject to the correction of the reported non-conformities. c) The Corrective Actions provided in response to the Non-Conformities must be accepted by TSMS Operations. d) The vessel should provide evidence that the Corrective-Actions have been implemented on board the vessel. e) Once the above has been completed to the attending Surveyor s satisfaction, the Non- Conformities can be closed out by the surveyor signing the bottom of the Non- Conformity and Observation Note. f) Once the Non-Conformities are closed out on the Non- Conformity and Observation Note, a copy of this form shall be sent to TSMS Operations with the Surveyor s Report. g) Once the Surveyor s Report with the closed Non-Conformities is received, TSMS Operations will issue the final External Survey Report with the statement that the vessel is fit for its route and service. Page 16

17 3. The audit process for a TSMS certificate under of Subchapter M 3.1 Application forms A company that desires to carry out an audit, will contact the TSMS Coordination Center in Dulles, Virginia, USA. (Here in after referred to as Center ). An application will be sent by the company to the Center with company s and vessels details determining whether the application is made for a management audit or a vessel audit. Once received from a company, the application will be forwarded to the SeaNet Auditor (here in after referred to as the Auditor ) with a request to confirm availability and any additional travel expenses that may apply. When the auditor confirms and the company accepts any additional expenses, a confirmation letter will be sent to the company and the auditor. 3.2 Preparation of the audit The Decatur Marine auditor shall audit the vessel against all the elements of the TSMS requirements of Subchapter M and especially part 140 and shall verify that the vessel is complying with these requirements Management audit The external management audit must be conducted prior to the issuance of an owner or managing operator s initial TSMS certificate, or subsequent renewals. A mid-period external management audit must be conducted between the 27 th and 33 rd month of the certificate s period of validity Vessel audits An external audit must be conducted prior to the issuance of the initial COI for vessels subject to an owner or managing operator s TSMS that have been owned or operated for 6 or more months prior to receiving the initial COI. An external audit must be conducted no later than 6 months after the issuance of the initial COI for vessels subject to the owner or managing operator s TSMS that have been owned or operated for fewer than 6 months prior to receiving the initial COI Page 17

18 3.2.4 The Auditor shall prepare an Audit Plan to be presented to the Master and Officers during the Opening Meeting or to the DPA in the case of a management audit. While preparing the audit plan, an Auditor should be mindful that he/she may have performed other work for the company or vessel (such as a previously conducted survey) and ensure that his/her own previous work is not within the scope of the audit. Any previous work for the company or vessel whether within the scope of the audit or not is to be brought to the attention of the Decatur Marine management to ensure complete transparency and prevent an appearance of a conflict of interest The Document Review should consist of the Auditor reviewing all the documents for the applicable audit as stated in the Audit Checklist and investigating the accompanying questions. 3.3 Executing the Audit The following is the standard sequence of a ship audit: Opening Meeting. The Auditor will conduct the opening meeting in the presence of the Master, Senior Officers, Company Security Officer, and/or Designated Person(s) if present, and other crew members to Master s discretion. The Opening Meeting shall include all items as per the Audit Checklist Auditor or Audit Team Briefing If an audit team is assigned: 1) The Audit team shall meet and the lead auditor will confirm the work assignments and responsibilities. 2) The auditor(s) will familiarize themselves with the details of the TSMS The Audit The following items shall be verified during the audit: 1) The Auditor will use throughout the audit the appropriate Audit Checklist and note all remarks on the checklist. The audit must be conducted as per the Audit Checklist with the following guidance. 2) Document Review a) The Auditor shall verify that the ship is in operating condition. b) Internal Audit has been carried out by the company. Page 18

19 c) Review records and reports of internal and external audits as per the checklist. d) Class Certificates, and survey records for validity as per the checklist. 3) Closing Out Non- Conformities a) Collect and Review all outstanding Non- Conformities and related Corrective Actions b) If no Corrective Action has been submitted after 30 days of being raised or a Corrective Action has not been implemented within 3 months of being raised, this shall be reported by the Auditor as a Major Non- Conformity. c) If the auditor identifies a major non-conformity during the external audit, then the auditor must notify the local Officer in Charge, Marine Inspection (OCMI) within 24 hours and the owner or managing operator s designated representative in accordance with the TSMS applicable to the vessel. d)the Corrective Actions provided in response to the Non- Conformities must be accepted by TSMS Operations e) The vessel should provide evidence that the Corrective Action has been implemented on board the vessel f) Once the above has been completed to the Auditor s satisfaction, the Non- Conformity can be closed out by the Auditor s signing the bottom of the Non-Conformity and Observation Note. g) Once the Non- Conformity is closed out on the Non- Conformity and Observation Note, a copy of this form shall be sent to TSMS Operations with the LA s Report. 4) Interviews: NOTE: Interviews should take place on location where the crew member carries out his duties. For example, the Second Officer should be interviewed on the Bridge near the charts and publications, the Master should be interviewed in his office, the AB on the Gangway where he stands watch, etc. a) In cases of a ship manned with a multi-national crew, how is the Master checking the language skills of the crew and their communication abilities. b) Interview the Master, and a selection of other officers and crew members on their understanding and implementation of the TSMS. c) New crewmembers have received safety training before the vessel gets underway. d) Essential instructions have been provided prior to sailing; including lifeboat station and responsibilities, fire station responsibilities and making available specific additional reference material associated with safety requirements from the Subchapter M. Page 19

20 5) Tour a) The Auditor will conduct a thorough tour onboard to observe the safety and the maintenance of the ship. b) All Restricted Areas and Access Points should be visited. 6) Drills a) The Auditor will witness a boat drill and launching of lifeboats, and a fire drill. b) Look to see whether: In the event of a shipboard emergency, can the crew organize themselves into an effective team to tackle the emergency The crew communicates effectively Whether the master is in control and has information flowing to and from the command center In event of the situation getting out of control, does the crew safely abandon the ship c) The Auditor will review the onboard training and drills record. The auditor may broaden the scope of the audit if: a) The TSMS is incomplete or not effectively implemented; b) Conditions found are not consistent with the records; or c) Unsafe conditions are identified. Ensure all activities have been carried out in conformity with the Company TSMS, as well as the requirements of Subchapter M Audit team debriefing and closing meeting Before the closing meeting the audit team shall meet and report their findings to the lead auditor. The lead auditor will study the findings and prepare his report to be presented at the closing meeting. In principle, same personnel will attend the closing meeting where the Auditor will present all items listed in the Audit Checklist. Page 20

21 3.3.5 Issuing the TSMS certificate: 1) After the completion of the management external audit and the vessels external audits the Auditor will send a report with the results of the Audit to TSMS Operations in Dulles, Virginia, USA. 2) The Audit manager will review the report and based on it and any corrective action plan will issue the TSMS certificate to the Company. 3) The TSMS Certificate will be issued and the OMCI notified as per procedure TSMS005. Page 21

22 4. Knowing What Checklist/Audit Report to Use In General, For the external survey program, according to the External Survey checklist ; For the external Drydock and Internal structural survey according to the External Survey for Drydock and Internal Structural Checklist ; For the TSMS external management audit the External management audit checklist ; For the TSMS external vessel audit the External vessel audit checklist. 5. Issuing a Non-Conformity or Observation 1) Back up the Non-Conformity with the requirement from the Subchapter M or the company TSMS. 2) Provide evidence that proves the Non-Conformity is in violation of the Subchapter M or the company TSMS. 3) If the Auditor feels that the Non-Conformity or Observation can be rectified or downgraded while on board then the Auditor should bring this to the attention of the Master for it to be rectified but still fill in the Non Conformity or Observation and then close it out once the deficiency has been rectified. This confirms that the problem existed on board and it was noted. 4) Fill in the Non Conformity or Observation Note (form 206) completely and have the Master sign it. 5) Attach a copy of the Non Conformity or Observation Note (form 206) to your report leaving the original on board with the Master. In addition, note the Non-Conformity or Observation on the checklist in the applicable part. 6) TSMS Operations will follow up with the company and another auditor will close out the Non Conformity during the next scheduled audit. 6. Type of Audits and Certificates TIMELINE OPERATOR (Commencing from Subchapter M coming into force) 18 Months Applies for Towing Safety Management (TSMS) Compliance services from Decatur Marine 18 Months Commences Towing Safety Management Decatur Marine Audit & Survey Insert Client Information into database Page 22 USCG CERTIFICATE

23 System Development 18 Months Submits documented TSMS to Decatur Marine to provide a desktop review for adequacy 24 Months Conducts Internal Management Audit 24 Months Schedules External Management Audit Decatur Marine provides TSMS, Desktop Review, and reveals any necessary corrective action. When approved Decatur Marine provides approval to commence six months TSMS implementation period for the client Conduct successful External Management Audit Decatur Marine Issues Interim TSMS Document of Compliance (DOC) which expires in 6 months. Decatur Marine replaces Interim DOC with a Full- Term TSMS DOC (expires in 5 years) 24 Months Conducts Internal Management and Vessel Audits 24 to 36 Months Schedules External Vessel Audit 24 to 36 Months Vessel submits TSMS Compliance Certificate to Company. Company Conducts Annual Periodic Surveys to include where applicable: LSA (part 141), FFA (part 142), Machinery (part 143), Hull (part 144), and Other (part 138) Conducts external Vessel Audit Page 23 Reviews application documentation; TSMS Compliance Decatur Marine Issues Annual Towing Vessel Survey Certificate and required report to Operator which identifies individual surveys conducted. Decatur Marine issues TSMS Compliance certificate to Vessel

24 applies to USCG for vessel Certificate of Inspection 48 to 60 Months Schedules Mid-Period External Shore side TSMS Audit 48 to 72 Months Schedules vessels for mandatory drydock between 24 to 36 months after receiving a Certificate of Inspection (Ref to Part 137 for Drydock periodicity based on vessel type) Conducts Mid- Period External Management Audit Conducts Drydock Survey Certificate and Survey Report; Issue Certificate of Inspection Decatur Marine provides Midperiod endorsement to DOC Decatur Marine Issues Drydock Survey Report and USCG amends Certificate of Inspection for appropriate drydock Information. 7. Invoicing and Reimbursing TSMS Operations will issue the invoices to the Company. If the audit is carried out within the Auditor s area no additional expenses will be charged by the Auditor. If the Auditor will be requested to travel out of his area or additional expenses will incur, he should notify and receive confirmation from TSMS Operations IN ADVANCE. TSMS Operations will inform the Company and get its approval prior to the verification. The Auditor will send his report and include the invoice with receipts. It is TSMS Operations s policy to pay the Auditor s travel expenses only against receipts. All invoices from the Auditor to TSMS Operations shall be billed as per the Auditor Agreement. Page 24