Issued by: SIS Dept Approved by: GM Date: 09 May 2012 Ref: TE/SMC1/CL/2 Page 1 of 8 SHIPS CLASSIFICATION MALAYSA ISM Shipboard Audit Checklist

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1 Issued by: SIS Dept Approved by: GM Date: 09 May 2012 Ref: TE/SMC1/CL/2 Page 1 of 8 Name of Ship : Name of Company : Type of Audit : Initial / Intermediate / Renewal Place of Audit : Date of Audit : Type of Ship : Name of Auditor (s) : Purpose of Ship : 1.0 Shipboard Tour 1.1 Bridge Are they any inoperable nautical instrument or radio equipment? Are updated versions of nautical publications available? / Are maritime safety information from NAVTEX or EGC checked regularly? / Are nautical charts and Notice to Mariners controlled properly? / Are standing order or night order issued regularly by the master? Accommodation Space Are there any crew accommodations left unattended with their function unserviceable? Are updated versions of Muster List available ( Bridge : Yes/No, Engine room: Yes/No, Accommodation (Yes/No)? / Is SOLAS Training Manual provided? / Are ship s drawing and instruction books controlled properly? Is the placard for garbage disposal written in language understood by crew? / Is watch schedule for watch keeper posted? / Is sick bay ready for emergency use? / Are medicaments properly controlled? / 8.1

2 Issued by: SIS Dept Approved by: GM Date: 09 May 2012 Ref: TE/SMC1/CL/2 Page 2 of On deck Are closing appliances, LSA, FFA maintained properly? / Are there any damaged equipment or hull part being left unattended? / Are there any items which are temporarily repaired? / Engine room / Steering room Are there any machinery left unattended with their function inoperable? Is the evacuation route unobstructed? / Is operating instruction of steering gear changeover posted? / Interview with ratings during shipboard tour Interview with the rating for (Deck : Engine: Catering : ) - When did he join? (Deck : Engine:, Catering : ) - Did he undergo familiarization training just after joining? (Deck :, Engine:, Catering : ) / 6.3 Were essential instruction prior to sailing given to him? (Deck :, Engine:, Catering : ) 6.3 When did he last participate in an abandon ship drill? (Deck :, Engine:, Catering : ) /.1 / Does he knows his assigned duties in an emergency? (Deck :, / / Engine:, Catering : ) Has he received instructions on how to use fireman outfit or breathing apparatus? / / (Deck :, Engine:, Catering : ) Does he understand what signal is given in the event of emergency? (Deck :, Engine:, Catering : ) 8.1 / 1.6 Interview with the Master Statutory certificates and survey records Are the effective monitoring of statutory certificates and survey records carried out on board the ship? Please refer to /10.1 / Annex

3 Issued by: SIS Dept Approved by: GM Date: 09 May 2012 Ref: TE/SMC1/CL/2 Page 3 of 8 1. Is validity of statutory certificates informed to the company as per the procedures? / 10.1 / Is classification and all statutory certificates duly endorsed? Are classification survey records maintained properly? Crew list and certificates for crew members Number and Nationality of officer? ( Number:, Nationality: ) Number and Nationality of ratings? ( Number:, Nationality: ) Is the ship manned in compliance with the safe manning document? Does each Master or Officer hold STCW 95 certificates? In addition with 1.6.8, does the foreign officers holding Certificate of Recognition issued by flag state or acknowledgement receipt proof that application for COR has been submitted to the Administration? Does all crew members have medical examination report issued by medical practitioner approved by Malaysia Marine Department? Please refer to Annex 2 Please refer to Annex Are original copies of Master s or Officer s certificates and endorsements kept on board the ship? Do Master, Officers and any person with responsibility for loading, discharging and care in transit or handling cargo serving on tanker (oil/gas/chemical) hold appropriate certificates? Are all ratings assigned to specific duties and responsibilities related to cargo or cargo equipment on tanker (oil/gas/chemical) duly certificated? Providing information to Master Is there adequate information on safety and pollution prevention given to Master by the Company? 4 / / Flag state requirements Does the ship comply with the flag state requirements? Log book entry Are necessary items as per SOLAS requirements entered into the Log Book? / / Are necessary items entered as per the SMS? / 7 /

4 Issued by: SIS Dept Approved by: GM Date: 09 May 2012 Ref: TE/SMC1/CL/2 Page 4 of Are necessary entries made to Oil Record Book? / Are necessary entries made to Garbage Record Book? / Safety and Environmental Protection Policy 2.1 Has the company established a safety and environmental protection policy? Has the policy has been implemented on board by i.e. displayed conspicuously, signed by top management and contents made known to all crew members? Company Responsibilities and Authority 3.1 Is there adequate evidence to show that the ship is managed by the company which is indicated on the DOC? Designated Person (s) 4.1 Is Master familiar with the requirements of the company s SMS relating to Section 4 of the ISM Code, referring to Manual/Procedures? 4.2 Is DPA known by Master and key personnel? 3.2 / 4 / 4.3 Is the functions of DPA known by key personnel? Is there any evidence showing that the DPA visits the vessel regularly to monitor the SMS? 4.0 / Master Responsibility and Authority 5.1 Is Master familiar with the requirements of the company s SMS relating to Section 5 of the ISM Code, referring to Manual/Procedures? 5.2 How does the master implement the SMS of the Company? - check to see if there are records to show all crew have read the SMS manual. As minimum all officers must be familiarized Proper filing system for manual and checklist

5 Issued by: SIS Dept Approved by: GM Date: 09 May 2012 Ref: TE/SMC1/CL/2 Page 5 of How does the master motivate the crew in the observation of the Company Policy? i.e. safety meeting, in house training etc 5.4 Does the master issue appropriate orders and instructions in a clear and simple manner? How does the master verify that specified requirements have been observed? - crew using protective gears for daily work - crew have sufficient rest hour period as per STCW requirement (not less than 10 hours in 24 hours period, not less than 77 hours in any 7 day period) 5.6 Has the Master reviewed the SMS and reported its deficiencies to the company? Is Master aware of the overriding authority ensured under the ISM Code? Resources and Personnel 6.1 Is Master familiar with the requirements of the company s SMS relating to Section 6 of the ISM Code, referring to Manual/Procedures? Have all crew members received pre-joining training as per the procedures? / Have onboard training and instructions been conducted as per the procedures? / Have newly joined crew members received the familiarization training required by the STCW? / / Have newly joined crew members received the familiarization training required by the SOLAS within 2 weeks after joining? / / Have on-board training and instructions required by the SOLAS III/19.4 been conducted regularly? / What is the on-board common language specified by the company? Are SMS related documents provided in a language understood by ship s crew? Are all crew able to read and understand the SMS manual? If NO, go to Has the company established any plan to cope with cases where crew is unable to read and understand the manual? Is the crew able to communicate effectively in the execution of their duties? 6.7

6 Issued by: SIS Dept Approved by: GM Date: 09 May 2012 Ref: TE/SMC1/CL/2 Page 6 of Shipboard Operations Is Master familiar with the requirements of the company s SMS relating to Section 7 of the ISM Code, referring to Manual/Procedures? Has the Company established the procedures, plans and instructions, including checklists as appropriate, for key shipboard operations concerning the safety of the personnel and environmental protection? 7.3 Have operations during departure been performed as per procedures? Have arrival operations been performed as per procedures? Is the navigation procedures included in the safety management system? Have cargo handling operations been performed as per procedures? Have machinery operations been performed as per procedures? Have pollution prevention operations been performed as per the procedures? Have special operations identified been performed as per the procedures? Has the company developed risk assessment procedures for operations to safeguard, ship, personnel and environment? Emergency Preparedness 8.1 Is Master familiar with the requirements if the company s SMS relating to Section 8 of the ISM Code, referring to Manual/Procedure? Does the company SMS identify potential emergency shipboard situations, and established procedures to respond to them? Has the company provided the ship with an updated emergency contact list? 8.1 / Have drills and exercises for the emergency situations identified been conducted as per / 5.1.1/ procedures? 5.1.4/ 8.5 Is master familiar with the procedures to respond to the emergency situation identified? / 6.5 / 8.1 / 8.6 Are the drills being review by the management? 8.7 Does the company carry out ship-shore exercise within time period specified in the Company s SMS? 8.3

7 Issued by: SIS Dept Approved by: GM Date: 09 May 2012 Ref: TE/SMC1/CL/2 Page 7 of Report and analysis of non-conformities, accidents and hazardous occurrences 9.1 Is Master familiar with the requirements if the company s SMS relating to Section 9 of the ISM Code, referring to Manual/Procedure? 9.2 Were there any reports on NC, accident and hazardous occurrence which were sent ashore? Verify if Master has been accurately reporting NC s, accident and hazardous occurrence? Have any deficiencies been identified at inspections by the third parties, such as PSC, charterers, P&I club, etc, since last audit? 9.1, Has the Company investigated and analyzed the NC and deficiencies? 9.1 / Has the Company closed the NC and deficiencies by the agreed time? Have corrective actions including measures intended to prevent recurrence been established? Maintenance of the ship and equipment 10.1 Is Master familiar with the requirements if the company s SMS relating to Section 10 of the ISM Code, referring to Manual/Procedure? 10.2 Has the maintenance and inspection for ship and equipment been carried out at appropriate intervals as per the plan? Is there any technical deficiency being reported? , Has the company responded to the reported deficiency? , 9.1, Have corrective actions are being taken in a timely manner? , 9.1, Have specific measures for testing of critical equipment/technical system identified, been carried out as per procedures? Have weekly tests and inspections for LSA and FFA been carried out? , Have monthly inspections for LSA and FFA been carried out using the checklist? , Have all maintenance works and inspections performed been properly recorded? Are all the maintenances and inspections being integrated into planned maintenance system? Is the planned maintenance system complied with, updated and properly recorded? , , 10.3, 10.4

8 Issued by: SIS Dept Approved by: GM Date: 09 May 2012 Ref: TE/SMC1/CL/2 Page 8 of Documentation 11.1 Is Master familiar with the requirements if the company s SMS relating to Section 11.0 of the ISM Code, referring to Manual/Procedure? 11.2 Are ship s SMS manuals up to date? Last revised: Have amendments of the SMS manuals been reviewed, approved by authorized personnel and properly recorded? Have obsolete documents been properly removed? Is the company SMS kept in a form that is practical and effective? Are all documentations relevant to the ship available onboard? Is modification to the SMS manual being made in compliance with requirements of the ISM Code and applicable rules and regulations? Company verification, review and evaluation 12.1 Is Master familiar with the requirements if the company s SMS relating to Section 12.0 of the ISM Code, referring to Manual/Procedure? 12.2 When was last internal audit conducted? Has the internal audit been conducted as per the procedures? Have internal audit records been kept onboard the ship? Are ship s key staffs aware of the result of the internal audit? Have non-conformities been raised at the audit? 12.3, Have corrective actions for the non-conformities identified during the internal audit been taken? 12.3, Has the company notified the ship of the result of the management review? 12.2, 12.5 Signature: Auditor s name: Date: Place/location: Stamps