ISM CODE AUDIT REPORT (COMPANY)

Transcription

1 ISM CODE AUDIT REPORT (COMPANY) TAL0/2009/S0018 ISM Periodical Audit PART 1 : SUMMARY PART 2 : REPORT PART 3 : NON-CONFORMITY SUMMARY (Form KS) & FORM(s) K PART 4 : DOCUMENT REVIEW (Form A) PART 5 : AUDIT PLAN (Form F) PART 6 : APPENDICES COMPANY NAME : UNITED MARINE MANAGEMENT LTD. Company BV Code : Company Address Audit Unit : BV HELSINKI Marine Center : RTD0 DATES OF AUDIT Start date : 02/06/2009 End date : 02/06/2009 Lead Auditor : Kuno Kivimaa Place of Audit : TALLINN CSOM : Ilkka Pelli Auditor(s) : Observer(s) : I. Pelli Report Validated On : 06/06/2009 By : Ilkka Pelli Stamp

2 PART 1 : SUMMARY COMPANY CERTIFICATES Certificate Certificate Type Expiry Date Flag Ship's Type(s) Certificate Issued or Extended Other cargo ship BARBUDA DOC Definitive 14/03/2011 ANTIGUA AND DOC Definitive 14/03/2011 ESTONIA Other cargo ship New Expiry Date AUDIT(S) PERFORMED Code DOCP ISM Periodical Audit Audit Name - Audit Reason Note : The scope of the Initial & Renewal Audits includes each element of the ISM Code. The scope of the Audit is to ensure that Auditor sampling basis covers each section of the ISM Code. Lead Auditor Summary Number of MNCs raised : 0 Number of MNCs downgraded : 0 Number of NCs raised : 1 Number of Observations raised : 1 Previous non-conformities cleared : Yes Lead Auditor Recommendation(s) DOCs have been endorsed for periodical audit on Company Information Company name : UNITED MARINE MANAGEMENT LTD. Company Contact : Company Head Office Address : 5 J. VILMSI TALLINN

3 PART 2 : REPORT BUREAU VERITAS Marine Division SHIPS IN SERVICE AUDIT REPORT The latest published Rules of Bureau Veritas Marine Division and the General Conditions therein are applicable Company Name : UNITED MARINE MANAGEMENT LTD. Company Country : ESTONIA Company Code : Reference : TAL0/2009/S0018 Audit Date : 02/06/2009 Audits Code DOCP Name ISM Periodical Audit TABLE OF CONTENTS Page 1. DOCUMENT REVIEW AUDIT PLAN IMPLEMENTATION CERTIFICATION AND VERIFICATION SPECIFIC FLAG REQUIREMENTS...8 BUREAU VERITAS Page 3/17 12/06/09

4 1. Document Review ISM001 DOCP SMS (Safety Management System) last revision checked against the one reviewed during last SMS review (Form A not required). Last Revision Company Manual rev.2 Date Audit Plan ISM063 DOCP Date on which the ISM code audit plan was communicated to the Client and those involved in the audit : [ ] 3. Implementation General / Objections ISM002 DOCP Objectives of the Company Objectives of the Company provide for safety practices in ship operation and a safe working environment. ISM003 DOCP Objectives of the Company Company objectives also establish safeguards against all identified risks. ISM004 DOCP Objectives of the Company Company objectives continuously improve safety management skills of personnel ashore and aboard ships. ISM005 DOCP SMS Complies with Rules & Regulations SMS (Safety Management System) complies with mandatory rules & regulations. ISM006 DOCP SMS Complies with Rules & Regulations SMS ensures that recommended applicable codes, guidelines and standards are taken into account. Safety and Environmental Protection Policy ISM007 DOCP 2.1 Safety and environmental policy Company had established a safety and environmental-protection policy, which describes how the objectives described in paragraph 1.2 of ISM Code will be achieved. ISM008 DOCP Company ensures that the policy is implemented and maintained at all levels of the organisation, both shipbased and shore-based. Company Responsibility and Authority ISM009 DOCP 3.1 Identification of Responsible Operator Identification of responsible operator, if not the owner, reported to the Administration. ISM010 DOCP 3.2 Responsibilities and Authorities of Responsible Personnel Definition of responsibilities, authorities and interrelations of responsible personnel. ISM011 DOCP 3.3 Resources for Designated Person ensured Resources and shore-based support are provided for the Designated Person(s) to carry out their functions. BUREAU VERITAS Page 4/17 12/06/09

5 Designated Person(s) ISM012 DOCP 4 Designated Person Responsibilities and Authorities include monitoring the safety and pollution-prevention aspects of the operation of the ship and ensuring that adequate resources and shore-based support are applied. DPA (Designated Person Ashored) Name(s) [Capt. V. Malnev ] Master s Responsibility and Authority ISM013 DOCP Implementation of safety and environmental-protection Policy Implementation of the safety and environmental-protection policy of the Company. ISM014 DOCP Motivation of Crew Motivation of crew in the observation of that policy. ISM015 DOCP Clear and Simple Orders Issuance of appropriate orders and instructions in a clear and simple manner. ISM016 DOCP Verification of Specific Requirements Verification that specific requirements are observed. ISM017 DOCP Review & Reports on S.M.S. are sent to the shore Review of the SMS and reporting of its deficiencies to the shore-based management. Remark made by the auditor Several check-lists and reports with mostly similar information in use by captain for reporting to the company. This may be confusing and inpracticable. Need for existing checklist no. 1,2 for captain to be concidered. Obs. no.2 issued. ISM018 DOCP 5.2 Masters Overriding Authority SMS contains a clear statement emphasising the master's authority. Resources and Personnel ISM019 DOCP Masters Qualification Verify the Master's qualification. ISM020 DOCP Masters are conversant with SMS Verify that the Master is fully conversant with the SMS. ISM021 DOCP Masters are supported to perform their duties Verify that it is given the necessary support to the Master to perform his duties safely. ISM022 DOCP 6.2 Crew qualification, certification and medical fitness Verify the ship is manned with qualified, certified and medically fit seafarers. A copy of the crew list and a list of all interviewed personnel shall be kept in local file along with the audit report. Remark made by the auditor Special program used by crewing departement to follow crewmembers personal and certificate datas. ISM023 DOCP 6.3 New/Transferred Personnel Familiarisation New / transferred personnel to new assignments, related to safety and protection of the environment are being familiarised with their duties. ISM024 DOCP 6.4 Understanding Rules, Regulations, Codes and Guidelines All personnel involved in the SMS have an adequate understanding of relevant rules, regulations, codes and guidelines. BUREAU VERITAS Page 5/17 12/06/09

6 ISM025 DOCP 6.5 Identification of Training Needs and Training actions Identification of training needs and confirmation that such training is provided. ISM026 DOCP 6.6 Working language(s) for personnel's information Personnel receive relevant information on the SMS in (a) working language(s) understood by them. Remark made by the auditor SMS in russian language and working language onboard vessels also russian. ISM027 DOCP 6.7 Effective Communication between ship's personnel (language) Personnel are able to communicate effectively in the execution of their duties related to the SMS. Development of Plans for Ship board Operations ISM028 DOCP Preparation of plans and instructions for key shipboard operations. The various tasks are defined and assigned to the qualified personnel. Emergency preparedness ISM029 DOCP 8.1 Identification, description and response to emergency situations Identification and description of potential emergency shipboard operations and response to these emergency operations. ISM030 DOCP 8.2 Emergency drills and exercices (ship/shore) Programmes for emergency drills and exercises. Remark made by the auditor Last common drill carried out with mv "Gala" on Also Flag Administration A&B was involved. ISM031 DOCP 8.3 Company emergency response measures Company response measures at any time to hazards, accidents and emergency situations involving its ships. Report and Analysis of Non-Conformities, Accidents and Hazardous Occurences ISM032 DOCP 9.1 Reporting, Investigation & Analysis of NCs and hazardous occurrences Reported to the Company, investigated & analysed with the objective of improving safety and pollution prevention. ISM033 DOCP 9.2 Corrective Action (CA) Implementation of corrective action. Maintenance of the Ships and Equipment ISM034 DOCP Maintenance to be in conformity with relevant Rules & Regulations and with any additional requirements which may be established by the company (including classification and statutory records). ISM035 DOCP Inspection at appropriate intervals Verify that inspection are held at appropriate intervals. ISM036 DOCP Reports of NC and its possible cause Verify that any non-conformity is reported. ISM037 DOCP Appropriate Corrective Action Verify appropriate Corrective Action is taken. ISM038 DOCP Records of these activities are maintained Verify that records of these activities are maintained. BUREAU VERITAS Page 6/17 12/06/09

7 ISM039 DOCP 10.3 Critical Equipment and Systems Identified / Measures to Promote Reliability Identification of equipment and technical systems the sudden operational failure of which may result in hazardous situation. ISM040 DOCP SMS provides measures to promote reliability, including regular testing of standby arrangements and equipment or technical system that are not in continuous use. ISM041 DOCP & 10.3 integrated into the ship's maintenance routine Verify that 10.2 & 10.3 are integrated into the ship's maintenance routine. Documentation ISM042 DOCP 11.1 SMS Documents and Data Control Procedure to control all documents and data which are relevant to the SMS (copy of the SMS control page shall be attached). ISM043 DOCP Valid Documents available at all relevant locations Verify that valid documents are available at all relevant locations. ISM044 DOCP Changes to documents treated by authorised personnel Verify that changes of documents are reviewed and approved by authorised personnel. ISM045 DOCP Obsolete documents promptly removed Verify that obsolete documents are promptly removed. ISM046 DOCP 11.3 Relevant documentation kept onboard the ship The documents used to describe and implement the SMS may be referred to as the Safety Management Manual. Relevant documentation shall be kept on board the ship. Company Verification, Review and Evaluation ISM047 DOCP 12.1 Internal Safety Audits of activities Internal safety audits performed to verify whether safety and pollution-prevention activities comply with the SMS. Date [ ] Remark made by the auditor Internal audit procedure not fully followed. For example during last internal audit in company NC-s and corrective actions not correctly recorded. NC no.1 issued. ISM048 DOCP 12.2 SMS Evaluation & Review Periodical evaluation of its efficiency and, when needed, revision of the SMS. Date [ ] ISM049 DOCP 12.3 Audits and CA Audits and corrective actions, in accordance with documented procedures. ISM050 DOCP 12.4 Independence of Auditors Auditors shall be independent of the areas being audited (unless this is impracticable). ISM051 DOCP 12.5 Communication of audit results Communication of audit results and reviews to all personnel having responsibility in the area involved. BUREAU VERITAS Page 7/17 12/06/09

8 ISM052 DOCP 12.6 Implementation of timely CA Management takes timely corrective action on deficiencies found. 4. Certification and Verification Certification and Periodical Verification ISM054 DOCP All periodical audits performed accordingly (in the company and on board the ship(s) ). Date [ ] 5. Specific Flag Requirements ISM056 DOCP A sample of specific Flag requirements complied with (as per TNS 18 and any other instructions). Remark made by the auditor Flag - Antigua & Barbuda. OPENING/CLOSING MEETINGS REPORT MEETING DATE PARTICIPANTS OBs OPENING DP, Technical Manager, Fleet Manager I. Pelli CLOSING DP, Technical Manager, Fleet Manager I. Pelli BUREAU VERITAS Page 8/17 12/06/09

9 PART 3 : SUMMARY of Non-Conformity & Form(s) K ISM CODE Non-Conformity Summary (Form KS) Job No TAL0/2009/S0018 Date 02/06/2009 Name of Company UNITED MARINE MANAGEMENT LTD. Country of Company ESTONIA Audit Description Audit Type ISM Periodical Audit Audit Date 02/06/2009 Lead Auditor / Auditor Kuno Kivimaa Audit Unit BV HELSINKI Form K Consecutive No Grade (MNC, NC, O) ISM Code reference Status* Limit date Cleared date 1 NC /09/ O Cleared by (*Status : D means "MNC downgraded", U means "NC upgraded") All raised Non-Conformities will be cleared by a BV auditor during next audit, based on the actions taken by the company within the agreed limit date BUREAU VERITAS Page 9/17 12/06/09

10 ISM CODE Non-Conformity Report (Form K) The Company should note that the assessment is based upon a sampling process. The identification of this non-conformity does not imply that others do not exist. Job No TAL0/2009/S0018 Date 02/06/2009 Name of Company UNITED MARINE MANAGEMENT LTD. Form K consecutive No 1 Description Internal audit procedure not properly followed. For example during internal audit in company NC-s and corrective actions not correctly recorded. Grade : Major non-conformity Non-conformity Observation ISM Code Ref 12.1 Other Reference QP-04 Audit Comments Proposed limit date 01/09/2009 Proposed corrective action Procedures for internal audit to be followed and responsible persons instructed, if needed. Lead Auditor / Auditor Kuno Kivimaa Company Representative Capt. V.Malnev Action Major non-conformity downgraded Non-conformity cleared Non-conformity upgraded Date of action Date objective evidence taken Action taken by the Company Remarks Lead Auditor / Auditor Date COMMENTS : BUREAU VERITAS Page 10/17 12/06/09

11 ISM CODE Non-Conformity Report (Form K) The Company should note that the assessment is based upon a sampling process. The identification of this non-conformity does not imply that others do not exist. Job No TAL0/2009/S0018 Date 02/06/2009 Name of Company UNITED MARINE MANAGEMENT LTD. Form K consecutive No 2 Description Several forms and reports with similar information used by capten for reporting to the company. Need for existing checklist no. 1,2 for capten to be concidered. Grade : Major non-conformity Non-conformity Observation ISM Code Ref Other Reference Audit Comments Proposed limit date Proposed corrective action Lead Auditor / Auditor Company Representative Kuno Kivimaa Capt. V.Malnev Action Major non-conformity downgraded Non-conformity cleared Non-conformity upgraded Date of action Date objective evidence taken Action taken by the Company Remarks Lead Auditor / Auditor Date COMMENTS : BUREAU VERITAS Page 11/17 12/06/09

12 ISM CODE Non-Conformity Summary (Form KS) Job No TAL0/2008/S0023 Date 02/06/2009 Name of Company UNITED MARINE MANAGEMENT LTD. Country of Company ESTONIA Form K Consecutive No Grade (MNC, NC, O) ISM Code reference Status* Limit date Cleared date Cleared by 1 NC /09/ /06/2009 Kuno Kivimaa (*Status : D means "MNC downgraded", U means "NC upgraded") All raised Non-Conformities will be cleared by a BV auditor during next audit, based on the actions taken by the company within the agreed limit date BUREAU VERITAS Page 12/17 12/06/09

13 ISM CODE Non-Conformity Report (Form K) The Company should note that the assessment is based upon a sampling process. The identification of this non-conformity does not imply that others do not exist. Job No TAL0/2008/S0023 Date 12/06/2008 Name of Company UNITED MARINE MANAGEMENT LTD. Form K consecutive No 1 Description Document control and revision numbers not according to the Code. Grade : Major non-conformity Non-conformity Observation ISM Code Ref 11.1 Other Reference Audit Comments Proposed limit date 12/09/2008 Proposed corrective action Document control and revisions to be updated and relevant procedures reviewed and corrected as found necessary. Lead Auditor / Auditor Kuno Kivimaa Company Representative V. Malnev Action Major non-conformity downgraded Non-conformity cleared Non-conformity upgraded Date of action 02/06/2009 Date objective evidence taken 02/06/2009 Action taken by the Company Document control procedures reviewed and corrected accordingly. Remarks Lead Auditor / Auditor Kuno Kivimaa Date COMMENTS : BUREAU VERITAS Page 13/17 12/06/09

14 PART 4 : DOCUMENT REVIEW (Form A) Not applicable BUREAU VERITAS Page 14/17 12/06/09

15 PART 5 : AUDIT PLAN (Form F) Job No TAL0/2009/S0018 Date 02/06/2009 Name of Company UNITED MARINE MANAGEMENT LTD. Type of audit ISM Periodical Audit Location(s) of audit TALLINN Proposed date of audit 02/06/2009 Name of Lead Auditor Kuno Kivimaa Name of Auditor(s), if any Name of Observer(s), if any I. Pelli Audit language Russian/English Date/Time Department/Area to be audited Interviews - Person(s) having direct responsabilities regarding the SMS Opening Meeting DP, Technical Manager, Fleet Manager Self-familiarisation with the SMS DP Manual Policies, Objectives, Commitment DP Organization, Resources DP, Fleet Manager Authority, Responsibilities, Tasks DP SMS documentation, Document DP Control Valid Documents, Publications, DP Rules Designated Person DP Masters overriding authority DP Masters qualification DP, Other (Crewing) Officers / Crew Certification DP, Other (Crewing) Familiarization / Training DP, Other (Crewing) Working Language DP Evaluation / Training Needs DP, Other (Crewing) Shipboard Operations - Bridge DP, Fleet Manager Shipboard Operations - Deck DP, Fleet Manager Shipboard Operations - Cargo Fleet Manager Shipboard Operations - Engine Technical Manager Emergency Preparedness / Drills DP, Fleet Manager Maintenance Routine - Deck / Technical Manager Navig Maintenance Routine - LSA / FFA Technical Manager Maintenance Routine - Engines Technical Manager Reporting from Vessels DP, Fleet Manager Masters Review DP, Fleet Manager Accident / Incident / Near Miss / NCs Investigation / Analysis / Corr. Action DP, Fleet Manager DP, Technical Manager, Fleet Manager BUREAU VERITAS Page 15/17 12/06/09

16 Date/Time Department/Area to be audited Interviews - Person(s) having direct responsabilities regarding the SMS Audits, Company Review DP Closing Meeting DP, Technical Manager, Fleet Manager BUREAU VERITAS Page 16/17 12/06/09

17 PART 6 : APPENDICES LIST OF DOCUMENTS ATTACHED TO JOB NUMBER TAL0/2009/S0018 Request for audit Endorced DOC Issued NC-s End of List BUREAU VERITAS Page 17/17 12/06/09