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Checklist for Company Safety Management System
IMO Company ID. No.:
Number of relevant employees who carry out or have
responsibility to the SMS of the Company ashore.
Company Name: Type of Audit Record No.
Company Address: Country:
Designated Person(s): Tel.: Fax:
Date of Audit: Name of Auditor(s): E-mail:
Title & Latest Revision Date of Manual: Website:
Note:
(1) This Checklist indicates items to be included at least in the samples at self checking. (2) In principle, the verification over the Company’s implementation of SMS should be made comprehensively for the past one year. However, in the Renewal, the verification over the Company’s implementation of SMS should be extended to include the reports issued by the external audits, PSC or marine casualties, and the company’s investigation and analysis conducted in response to them, for the past five years.
( 1) It em s t o be checked pri or t o audi t
Items to be checked CHK^ Remarks
1 - 1 Changes of ships under management As for new acquisition, a copy of owner’s report to the Administration as required in ISM Code 3.1 to be available. If there are any SMC of ships left from the Company’s management, auditor should demand the return of the same to RO for “Termination of ISM registration” 1 - 2 Changes in Company’s name/address If Additional Audit has not yet started, an Additional audit for changes shall be applied to the RO. 1 - 3 Confirmation of ship types covered by DOC If any ship type no longer exists under management for more than 1 year, rewrite of DOC shall be requested at next Audit. 1 - 4 Confirmation of ship flags covered by DOC If no ship under management, remains with any Flag, the DOC of same Flag shall be returned at next Audit. 1 - 5 Confirmation of reporting to Flag States A copy of owner’s report to the Administration as required in ISM Code 3.1 to be confirmed, for every ship.
( 2) It em s t o be conf i rm ed pri or t o audi t
Type of ship* F l a g & n u mb e r o f s h i p s u n d e r ma n a g e me n t Type of ship* F l a g & n u mb e r o f s h i p s u n d e r ma n a g e me n t
Oil Tanker Bulk Carrier * Chemical Tanker Other Cargo Ship Gas Carrier Passenger Ship
* Refer to SOLAS IX/
Act i ve Crew nat i onal i t y
Masters Chief Engineers Deck Officers Engineers Deck Ratings Engine Ratings Radio Operators Cooks
Language Manual, Procedures and Instructions Working Language Onboard
Notice: The parts of checklist which are not used during audit should be deleted by lines appropriate according to the audit scope.
( 3) Int ervi ew wi t h Top Managem ent - Presi dent / Chi ef Execut i ve Of f i cer
Items to be asked during interview Chk Code Remarks 3 - 1 Have you noticed any benefits since your company has introduced its SMS? 12. 3 3 - 2 What opinion do you have regarding SMS activities of all personnel involved?^ 12. 3 3 - 3 What matters has D. P. A. reported to you recently regarding SMS? 4 3 - 4 How do you think about Key points of Management Review? 12. 3 3 - 5 What do you think about Casualties of late years in the world? -
( 4) Responsi bi l i t y of Desi gnat ed Person Ashore ( D. P.A.)
Items to be checked Chk Code Remarks
4
Is D.P.A. monitoring the safety and pollution-prevention aspects of the operation of each ship and ensuring that adequate resources and shore-based support are given as needed?
The judgement shall be made taking into consideration of the following items. 4-1 How often do you or nominated personnel on your behalf visit your ships? 4
4-
Can all Masters identify you as the DPA and that you are the specific person in charge of SMS?
4-3 What matters did you report to top management? (What matter recently?) 4 Regular Reports Occasional Reports
( 5) Syst em Revi ew
Items to be checked Chk Code Remarks
5
Is the company periodically evaluating the effectiveness of SMS and, when needed, reviewing the SMS in accordance with procedures established by the company? 12.^
The judgement shall be made taking into consideration of the following items.
Confirm if proper revisions on the SMS Policy, Manuals and Procedures, since the last audit have been made, on the basis of company’s explanations with reasons on the revised parts.
Typical Reasons of Revision Organization, Rule/Regulation, Internal/External Audit, Non-conformity/Deficiency for SMS offered by Staff/Master, PSC Inspection, Accident, Casualty; SOLAS V/28 – Retention of Daily Report
-a Have the revisions of mandatory rules, such as IMO conventions, been taken into SMS? 1.2.3.
-b Are the revisions approved by responsible person, according to the procedures? 11.2. 5-2 Following items, as functional requirements of SMS, shall be verified. -a Is the Safety & Environmental-protection Policy clearly shown? 2.1 Signature of the Top management Latest revision date -b Are the objectives of SMS clearly stated in the SMS? 1.2 Continuously improve safety management-skills Mandatory rules -c Risk Assessment 1.
-c(1) Are there procedures for risk assessment in SMS?
Element of the procedure identification of the risk assessment of the risk establishment of safeguard against the risk
( 6) Int ernal Audi t
Items to be checked Chk Code Remarks
6
Is the company carrying out internal safety audits to verify whether safety and pollution-prevention activities comply with the SMS? 12.^
The judgement shall be made taking into consideration of the following items. 6-1 Implementation of Internal Audits shall be verified on the basis of its plans.
-a
Are Internal Audits for all departments and ships planed at intervals not exceeding twelve months? 12.
-b
Are procedure and criteria to extend internal audit within three months under exceptional circumstances established in SMS?
If there is the vessel flying the flag of Bahamas, Marshall Island and Panama under management, reference to be made for flag special requirement in Appendix II -c Are all Internal Audits conducted within twelve months from previous date of audit? 12.1 If “No” go to 6-1-d
-d Are extension of Internal Audits conducted as per SMS Manual/Procedures?
N/A
6-2 Following items shall be verified on the basis of Internal Audit Reports. -a Are Internal Audits carried out as per SMS Manual/Procedures?^ 12.4 Assignment of Internal Auditor(s) Notification of Internal Audit Checklists
-b
Are corrective action requests and corrections for NCs, and verification of its effectiveness carried out in order? 12. -c Are results of Internal Audits reported to Top Management as per Procedures? 12.4 If any comments of Top Management or Designated Person(s) could not be -d Are results of Internal Audits brought to all Departments and Ships? 12.6 found, NC may be raised relating to the ISM Code 12.3. 6-3 Checklists for Company Internal Audit shall include following items. points of Checklist; in detail -a State of records prepared by office and records from Ships.
-b
State of management of controlled documents and legal/statutory publications (incl. abolition). -c Response to requisitions from Masters of ships. -d Response to Trouble/Failure reports from Masters of ships. -e Performances of Manning Agencies and control of Seamen’s Certificates. -f Pre-joining training, Essential Instructions and Training needs. -g Joint Exercises for Emergency and Evaluation for them. 6-4 Checklists for Shipboard Internal Audit shall include following items.
-a Official (Deck) Log Book Entry.
SOLAS, Chapter III, Reg.19, 5 “Records” Abandon ship drills Fire drills Enclosed space entry and rescue drills Other life-saving appliances Onboard training -b Motivation of crewmembers for company’s SMS by Master.
-c Placards to be posted up, such as Master’s standing order and so on.
Master’s order Watch schedule Muster Lists Garbage control Smoking regulation
-d Verification by Master on Voyage & Passage plan and Chart correction.
STCW Code, Part A, Section A-VIII/2, Part 2 “Voyage Planning” C/E shall, in consultation with Master, determine the needs of the intended - -e Confirm ECDIS handling procedure in SMS how to update ENCs
-f Master’s review on the SMS and reporting its deficiencies.
Master’s judgement on effect of SMS & his proposal to improve the SMS & Reporting to the company of any SMS deficiency have been made regularly? -g Master’s awareness on the SMS
-h Familiarization training & Essential instructions for newly joined crew.
STCW Code, Part A, Section A-VI/1 & Section A-I/ Elementary training (A-VI/1-1) Specific training (A-I/14-2) -i Training needs on operation & maintenance of hull, machinery & equipment.
Items to be checked Chk Code Remarks
- j Crewmembers’ awareness on the SMS, incl. languages and education.
- k Performance of crewmembers; communication, behavior & activity. Appraisal records
- l Deck & Engine Log Book as per Manual/Procedures Especially special operation, etc.
- m Garbage Record Book Evidence of plastics disposal ashore
- n Drills, Training & Instructions onboard Yearly Plan
-o Training onboard for Emergency Situations specified by the Company
Collision Grounding Oil pollution(SOPEP) Flooding M/E failure Blackout
-p Drills, Training and Instructions onboard required by SOLAS
SOLAS, Chapter III, Reg.19(Emergency training & drills), Chapter V, Reg.26 (Steering Gear) -q Launching record for Life/Rescue boat(s) Chapter III, Reg.19, 3.3.3 (at least once every three months) -r Detentions/Deficiencies by PSC and NC/OBS at External Audits. -s Progress monitoring & reporting of Planned Maintenance -t Corrections and preventive measures to Trouble/Failure Reports -u Management of Controlled Documents and Legal Books & Publications Controlled Documents Legal/Statutory Books Publications Latest Edition -v Management of Incoming/Outgoing letters Incoming letters Outgoing letters -w Management of controlled records Records kept onboard Reports to Company
6-5 Periodical verification to all those undertaking delegated ISM-related tasks
Manning Agencies maintenance Internal Auditor(s) other ( ) N/A
Notice: Resolution MSC.353(92) the amendments to ISM Code entered
into force on 1 January 2015. (ISM Code 6.2, and 12.2 to 12.7)
-a
Are there procedures of periodically verifying whether all those undertaking delegated ISM-related tasks are acting in conformity with the Company’s responsibilities under the Code? -b Are the periodical verifications planned to carry out, at least once a year? -c Are the Periodical verifications carried out as per SMS Manual/Procedures?
( 7) Shi pboard Operat i on, Speci f i c It em s f or Shi p Types & Fl ag St at es
Items to be interviewed Chk Code Remarks
Are plans and instructions, including checklist as appropriate, for key shipboard operations concerning the safety of the ship and the prevention of pollution established and maintained?
The judgement shall be made taking into consideration of the following items.
7-1 Confirmation of Procedures & checklists
-a Are procedures & Checklists for key shipboard operations maintained properly? 7
Enter/leaving port Watch (at sea/in port) Chart correction Cargo Handling Dangerous work Pollution prevention -b Have you procedures for handling cargoes other than specified in existing procedures? Ask the company’s assistance Pre-notice from the company 7-2 Supporting the shipboard Operation
-a Confirm how to supply Notice to Mariners and Charts. 6.1.
Direct from company. Is the company confirming the direct sending by chandler? Is any procedure available in urgent cases?
-b What kind of official letters have you issued to provide the ships with necessary information?
Guideline for Voyage Planning IMO Res. A.893(21) Ballast Water Management Piracy Information PSC Information
-c Has any Master ever made use of his^ overriding authority^ actually?^ 5.^
Assistance from the Company Investigation by the Company and revision of SMS, when necessary.
( 9) Non- conf orm i t i es, Def i ci enci es, Acci dent s & H azardous Occurrences
Items to be interviewed Chk Code Remarks
Does the company ensure that non-conformities, accidents and hazardous situations are reported to the company, investigated and analysed with the objective on improving safety and pollution prevention, and necessary corrective actions are taken?
The judgement shall be made taking into consideration of the following items.
9-1 Reporting of Non-conformity(Deficiency) and Measures to address them
Deficiency Report Non-conformity Report Free Form Experience Report Minutes of Ship Meeting Failure Report -a Are definitions of Non-conformity (Deficiency) clearly specified in the SMS?
Non-conformity: SMS Problem Deficiency: Problem of Hard ware Failure Report found, although they call everything as deficiency. -b Are deficiencies at PSC inspections reported to the company? (^) What Form to be used? -c Are NCs and OBSs raised at external audits reported to the company? What Form to be used? -d Are incompetent crew and claim from outside party reported to the company? What Form to be used?
-e
Is there no lack of PSC Records kept by the company, comparing with PSC history obtained through information to auditor? -f Do reports to the company contain proposed corrective actions?
-g Are these reports investigated and analyzed by the company?
-h
Have these matters, together with preventive measures, been brought to the attention of other ships concerned? 9-2 Reporting of Casualties, Accidents & Incidents and Measures to address them -a Is there any casualty or accident? Is this reported to company, if any? 9.1 What Form to be used? -b Have these reports been investigated and analyzed by the company?
-c Have these matters been brought to the attention of other ships concerned? 9-3 Reporting of Hazardous Occurrence (Near miss) and Measures to address them -a Are hazardous occurrences (Near miss) reported to the company? 9.1 What Form to be used? -b Are these reports investigated and analyzed by the company?
-c
Have these matters, together with preventive measures, been brought to the attention of other ships concerned?
( 10) Mai nt enance
Items to be interviewed Chk Code Remarks
Does the company ensure that the ship is maintained in conformity with the provisions of the relevant rules and regulations and with any additional requirements, which may be established by the company?
The judgement shall be made taking into consideration of the following items.
10-1 Confirmation of Certificates & Survey Records (^) The Statutory and Class Certificates, and the Statutory and Class survey records of at -a Are the validity of certificates and survey arrangements properly managed? 10.1 least one ship for each ship type shall be verified, irrespective of classifications. 10-2 Planned Maintenance Typical Reasons for Revisions of maintenance Standards and Plans Master’s Report, RO’s Survey, RO’s Audit PSC Company’s Analysis Auditor should verify that Company has the technical standards for maintenance to hull structures, machineries and equipment, including the mechanical damages, corrosion/wastage and rust to them for repair
-a Are the planned maintenance items and their intervals in order? -b Are revisions of maintenance standards and maintenance plan in order? 10.2.
-c Are the progress monitoring of planned maintenance executed properly?
10-3 Support from Ashore
-a Is person in charge responding to failure reports from ship immediately? 10.2. -b Are possible causes described in the failure reports? 10.2.
Items to be interviewed Chk Code Remarks
- c Are appropriate corrective actions for the failure reports taken? 10.2.
- d Are^ necessary information, such as revisions of convention and technical notices from makers, provided to ships under management?
6.1.3 Revisions of Conventions (Information from ROs, etc.) Technical Information from Makers
10 - 4 Critical Equipment and Systems Critical Equipment and Systems means those sudden operational failure of -a Are specific measures aimed at promoting the reliability of critical equipment and^ which may results in hazardous situations. systems provided? 10. -b Are the regular testing of stand-by arrangements and equipment or technical systems that are not in continuous use included?
( 11) Docum ent at i on
Items to be checked Chk Code Remarks
11
Has the company established and maintained procedures to control all documents and data which are relevant to the SMS? 11
The judgement shall be made taking into consideration of the following items.
11-1 Management of Controlled documents -a Are the revisions of Manuals & procedures executed as per procedures? 11.2.2 Prepared by whom Assessed and Approved by Responsible Person -b Are the distributions of revised documents executed as per procedures? 11.2.1 Distribution list Confirmation of Receipt -c Are the obsolete documents removed as per procedures? 11.2.3 Confirmation of Removal
11-2 Management of Legal/Statutory books and Publications -a Is a list of books & publications to be placed in office and on board available? 11.2.
International Conventions Rules & Circulars of Flag States -b Is confirmation of updated editions executed as per procedures? At Internal Audits By Regular Review
11-3 Management of Official letters and Correspondences
-a Are official letters and correspondences of the company controlled properly as perprocedures?
Official Letters Regular Reports Internal Correspondences
-b
Are letters and documents from outside of the company controlled properly as per procedures? Flag States / Port States^ Owners / Charterers^ Makers, etc.
11-
Are up-to-date as Built Construction Drawings available in the office for every ships managed by the company?
If the same are not available for ships constructed on or after 1 Jan. 2007, NC should be raised. (Mandatory requirement of SOLAS II-1/3.7)
(12) Manning
Items to be interviewed Chk Code Remarks
Does the company ensure that each ship is manned with qualified, certificated and medically fit seafarers in accordance with national and international requirements, and necessary education and training are provided to all personnel concerned? 6 The judgement shall be made taking into consideration of the following items. Does the company ensure that each ship is appropriately manned in order to encompass all aspects of maintaining safe operation on board?
12-1 Certificates & Medical fitness, etc.
-a Is a copy of Minimum Safe Manning Certificate of every ship available? 6.2. Verification shall be done, by sampling method, at least one ship for each Flag State.
-b Are copies of Certificates of competency for Masters & officers available?
-c Are copies of Certificates of proficiency, required by STCW, for rating crew available? -d How has the person in charge checked the authenticity of certificates?
-e
Are the personnel data, incl. copies of valid Medical certificates, of all crew in service available?
STCW 95, Regulation I/14 “Responsibilities of companies”, 1. Medical certificate Service record Training history Competence
A p p en dix I: A dditio n a l Item s b y S h ip T ype : Following items shall be verified.
Ship Type Items to be checked Yes No N/A Remarks
Oil Tanker
Is the ship provided with a calibration instrument for combustible gas indicators?
SOLAS Chapter II-2, Reg.59/
Chemical Tanker Are tank-cleaning procedures for mainly intended cargo documented?
Bulk Carrier
Is the ship provided with the procedures for handling cargo, which may liquefy, if applicable?
Typical example of cargo, which may liquefy, is nickel concentrate.
Are “cargo hold flooding scenarios” specified in SOLAS XII/ including detailed instructions on evacuation preparedness given to the Master and brought into practice, if applicable?
Applicable to B/C constructed before 1 July 1999 of 150m in length, not being capable of complying with damage stability requirements under SOLAS XII/4.3. Pay attention to 4 hold ships. Are “Hatch Cover Maintenance Plans” in accordance with MSC 169 (79) incorporated into the SMS and implemented on board the relevant ships?
If no, NC related to ISM Code 10.2 should be raised.
Appendi x II: Addi t i onal It em s by Fl ag St at e : Fol l owi ng i t ems shal l be ver i f i ed.
Flag State Items to be checked Yes No N/A
Bahamas
The Bahamas Maritime Authority will consider exceptional applications for exceeding the twelve month interval between audits for shipboard audit only. Companies claiming to be unable to carry out internal audit within the 12 month period should apply to the RO for acceptance to carry out the audit outside the necessary time frame, and within three months of the due date. The acceptability of any exceptional circumstances must be considered by the RO before any recommendation is made to BMA, in accordance with our agreed procedures. In all cases there shall be not less than five internal audits of ship and office during the five year validity of certification. The Company should ensure that ECDIS ship specific equipment training process and record-keeping is documented in the ship’s SMS. Master shall ensure that all affected officers have documentary evidence of ECDIS training prior to be assigned their shipboard navigational duties.
Cyprus
Verify the emergency preparedness plans and schedule of ship to shore drills and judge the same satisfy the requirements, or not. Verify the preventive maintenance procedures and Critical Equipment and judge the same satisfy the requirements, or not. Verify the availability of essential plans, manuals and so on in the office and three years retainment of the relevant documents for vessels ceased to be operated by the Company and judge the same satisfy the requirements, or not. Verify “Fire Control & Life Saving Appliances Plans” for all Cyprus Flag ships are available in the office, or not. Verify “Ship’s Articles”, “Official Log Books (Bridge), issued and endorsed by the Government, have been supplied for all Cyprus Flag ships.
Japan
Japan
Item 12.1 of the ISM Code allows extending the interval of internal audits for not more than three months. In this regard, the internal audit just after the extended internal audit shall be conducted within 12 months from the original time frame. Emergency Towing Booklet (ETB) prepared referring to the Guidelines MSC.1/Circ.1255 shall form part of the emergency preparedness required by para.8 of the ISM Code, and shall be confirmed during initial and periodical audits of DOC and SMC. “Plans and procedures for recovery persons from the water” developed taking into account the Guidelines MSC.1/Circ.1447 shall be provided on board at the following occasion. (1) New ships constructed (keel-laid) on or after 1 July 2014 : Initial safety equipment survey at new building (2) Existing ships constructed (keel-laid) before 1 July 2014 : By the first periodical or renewal safety equipment survey of the ship, whichever comes first after 1 July 2014 Thereafter, the “Plans and procedures for recovery persons from the water” shall form part of the emergency preparedness required by para. 8 of the ISM Code, and shall be confirmed during initial and periodical audits of DOC and SMC.
Flag State Items to be checked Yes No N/A
Marshall
Island
The SMS must include guidance regarding under what operating situations the BNWAS should be operated in the different modes (automatic, on and off). For systems fitted with motion sensors to serve as the rest function, the SMS must include a procedure for the crew to check the system at least once a day to ensure it is operating correctly. All requests for an extension of the 12 month interval must be presented to the Administrator well in advance accompanied by documentation explaining why the internal audit cannot be conducted within the required timeframe. In all cases there shall be not less than five (5) internal audits of the Company or any ship during the five (5) years validity of certification.
Panama
The Administration requires to all Masters and/or Owners/Operators to report immediately to Port State Control Section, all PSC inspections reports. If the Company decides to channel all communications through the DPA, directory via the master or each individually will be a decision to the Company to be established in the ISM manual or procedures of the vessel. The correction of deficiencies shall be sent by the Masters, Operators/Owners using the format in appendix I of this Merchant Marine Circular No. 172 (Form F-JERP-02-01). (Merchant Marine Circular No. 172) With regard to deficiencies raised due to Annual Safety Inspections (ASI), it is required to report to Flag State Section e-mail marsegur@amp.gob.pa using the prescribed Form (F-IASI-01-01) within 30 days. This procedure shall be included in the ship’s SMS Manual. (Merchant Marine Circular No. 201) In regard to exceptional circumstances under which the 12 months interval of the internal safety audits may be extended, it is the company who approves such extension. Therefore, the company should establish the criteria for the extension in the management system.
