Checklist

Audit report item checklist

Reg: 15625L

HECTOR

BUREAU VERITAS
Marine Division

Ref : TA00/2012/S0071

SHIPS IN SERVICE AUDIT REPORT

The latest published Rules of Bureau Veritas Marine Division and

the General Conditions therein are applicable

Register No : 15625L
Ship Name : HECTOR

Reference : TA00/2012/S0071
Audit Date : 18/06/2012

Audits
Code

Name

SMCI

ISM Initial Audit









TABLE OF CONTENTS

Page

DOCUMENT REVIEW ............................................................................................................................3

AUDIT PLAN .............................................................................................................................................3
IMPLEMENTATION................................................................................................................................3
CERTIFICATION AND VERIFICATION.............................................................................................6
SPECIFIC FLAG REQUIREMENTS .....................................................................................................7

BUREAU VERITAS

Page 2/7

18/06/12

Reg: 15625L



HECTOR

Ref : TA00/2012/S0071

Document Review

ISM001

WR

SR

NA

WR

SR

NA

1.2.2 Objectives of the Company

WR

SR

NA

1.2.2 Objectives of the Company

WR

SR

NA

1.2.2 Objectives of the Company

WR

SR

NA

1.2.3.1 SMS Complies with Rules &

Regulations

WR

SR

NA

1.2.3.1 SMS Complies with Rules &

Regulations

WR

1.2.3.1 SMS Complies with Rules &

Regulations

WR

SMCI

SMM (Safety Management Manual) last revision checked.

Last Revision
Date




Audit Plan

ISM063

SMCI

Date on which the ISM code audit plan was communicated to the Client and those involved in the audit :
[16/06/2012
]

Implementation

General / Objectives
ISM002B

SMCI

Objectives of the Company : Assess all identified risks to its ships, personnel and the environment.
ISM003

SMCI

Company objectives also establish safeguards against all identified risks.

ISM004

SMCI

Company objectives continuously improve safety management skills of personnel ashore and aboard
ships.
ISM005

SMCI

SMS (Safety Management System) complies with mandatory rules & regulations (Check of all class &
statutory certificates and CSR data).
ISM005B

SMCI

SR

NA

For Passenger ships / Ro-Ro Passenger ships: The Company's SMS is provided with one efficient control
and record of changes and modifications made on board the ship that may affect its safety certificate
ISM006

SMCI

SR

NA

SMS ensures that recommended applicable codes, guidelines and standards are taken into account.

Safety and Environmental Protection Policy

ISM007

WR

SR

NA

WR

SR

NA

3.1 Identification of Responsible Operator

WR

SR

NA

3.2 Responsibilities and Authorities of

Responsible Personnel

WR

SR

NA

2.1 Safety and environmental policy

SMCI

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

SMCI

Company ensures that the policy is implemented and maintained at all levels of the organisation, both
ship-based and shore-based.

Company Responsibility and Authority

ISM009

SMCI

Identification of responsible operator, if not the owner, reported to the Administration.

ISM010

SMCI

Definition of responsibilities, authorities and interrelations of responsible personnel.

BUREAU VERITAS

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18/06/12

Reg: 15625L

ISM011

HECTOR

Ref : TA00/2012/S0071

3.3 Resources for Designated Person

ensured

WR

4 Designated Person

WR

SR

NA

5.1.1 Implementation of safety and

environmental-protection Policy

WR

SR

NA

5.1.2 Motivation of Crew

WR

SR

NA

5.1.3 Clear and Simple Orders

WR

SR

NA

5.1.4 Verification of Specific Requirements

WR

SR

NA

5.1.5 Review & Reports on S.M.S. are sent

to the shore

WR

SR

NA

5.2 Masters Overriding Authority

WR

SR

NA

6.1.1 Masters Qualification

WR

SR

NA

6.1.2 Masters are conversant with SMS

WR

SR

NA

6.1.3 Masters are supported to perform their

duties

WR

SR

NA

6.2 Crew qualification, certification and

medical fitness

WR

SR

NA

SR

NA

SMCI

SR

NA

Resources and shore-based support are provided for the Designated Person(s) to carry out their functions.

Designated Person(s)
ISM012

SMCI

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) [
]

Master s Responsibility and Authority

ISM013

SMCI

Implementation of the safety and environmental-protection policy of the Company.

ISM014

SMCI

Motivation of crew in the observation of that policy.

ISM015

SMCI

Issuance of appropriate orders and instructions in a clear and simple manner.

ISM016

SMCI

Verification that specific requirements are observed.

ISM017B

SMCI

Periodically review of the SMS and reporting of its deficiencies to the shore-based management.
ISM018

SMCI

SMS contains a clear statement emphasising the master's authority.

Resources and Personnel

ISM019

SMCI

Verify the Master's qualification.

ISM020

SMCI

Verify that the Master is fully conversant with the SMS.

ISM021

SMCI

Verify that it is given the necessary support to the Master to perform his duties safely.
ISM022B

SMCI

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 attached to the audit report.
ISM023

6.3 New/Transferred Personnel

Familiarisation

WR

6.4 Understanding Rules, Regulations,

Codes and Guidelines

WR

6.5 Identification of Training Needs and

Training actions

WR

SR

NA

6.6 Working language(s) for personnel's

information

WR

SR

NA

6.7 Effective Communication between ship's

personnel (language)

WR

SMCI

New / transferred personnel to new assignments, related to safety and protection of the environment are
being familiarised with their duties.
ISM024

SMCI

SR

NA

All personnel involved in the SMS have an adequate understanding of relevant rules, regulations, codes
and guidelines.
ISM025

SMCI

Identification of training needs and confirmation that such training is provided.

ISM026

SMCI

Personnel receive relevant information on the SMS in (a) working language(s) understood by them.
ISM027

SMCI

SR

Personnel are able to communicate effectively in the execution of their duties related to the SMS.

Shipboard Operations

BUREAU VERITAS

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18/06/12

NA

Reg: 15625L

ISM028B

HECTOR

Ref : TA00/2012/S0071

WR

SR

NA

8.1 Identification, description and response

to emergency situations

WR

SR

NA

8.2 Emergency drills and exercices

(ship/shore)

WR

SR

NA

8.3 Company emergency response

measures

WR

SR

NA

SMCI

Preparation of procedures, plans and instructions for key shipboard operations. The various tasks are
defined and assigned to the qualified personnel.

Emergency preparedness
ISM029B

SMCI

Identification of potential emergency shipboard operations and response to these emergency operations.
ISM030

SMCI

Programmes for emergency drills and exercises.

ISM031

SMCI

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

SMCI

9.1 Reporting, Investigation & Analysis of

NCs and hazardous occurrences

WR

SR

NA

9.2 Corrective Action (CA)

WR

SR

NA

9.1 Reporting, Investigation & Analysis of

NCs and hazardous occurrences

WR

SR

NA

Reported to the Company, investigated & analysed with the objective of improving safety and pollution
prevention, including near misses.
ISM033

SMCI

Implementation of corrective action.

ISM104

SMCI

Verification of records of previous PSC Inspections which have raised PSC deficiencies in relation with the
ISM Code (ship detained or not). Confirmation, through records or audits, that these deficiencies have been
effectively corrected.

Maintenance of the Ships and Equipment

ISM034

SMCI

10.1 Maintenance in Conformity with

Relevant Rules, Regulations and any
additional requirements from the Company

WR

SR

NA

10.4 10.2 & 10.3 integrated into the ship's

maintenance routine

WR

10.2.1 Inspection at appropriate intervals

WR

SR

NA

10.2.2 Reports of NC and its possible cause

WR

SR

NA

10.2.3 Appropriate Corrective Action

WR

SR

NA

10.2.4 Records of these activities are

maintained

WR

SR

NA

10.3 Critical Equipment and Systems

Identified / Measures to Promote Reliability

WR

SR

NA

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).
ISM034B

SMCI

SR

NA

Check the conformance with IACS UR E18: details of the scheduled and of the procedures related to
batteries where fitted for essencial and emergency services to be included in the SMS.
ISM035

SMCI

Verify that inspection are held at appropriate intervals.

ISM036

SMCI

Verify that any non-conformity is reported.

ISM037

SMCI

Verify appropriate Corrective Action is taken.

ISM038

SMCI

Verify that records of these activities are maintained.

ISM039

SMCI

Identification of equipment and technical systems the sudden operational failure of which may result in
hazardous situation.
ISM040

WR

SMCI

SR

SMS provides measures to promote reliability, including regular testing of standby arrangements and
equipment or technical system that are not in continuous use.

BUREAU VERITAS

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18/06/12

NA

Reg: 15625L

ISM041

HECTOR

SMCI

Ref : TA00/2012/S0071

10.4 10.2 & 10.3 integrated into the ship's

maintenance routine

WR

SR

NA

11.1 SMS Documents and Data Control

WR

SR

NA

11.2.1 Valid Documents available at all

relevant locations

WR

SR

NA

11.2.2 Changes to documents treated by

authorised personnel

WR

SR

NA

11.2.3 Obsolete documents promptly

removed

WR

SR

NA

11.3 Relevant documentation kept onboard

the ship

WR

SR

NA

Verify that 10.2 & 10.3 are integrated into the ship's maintenance routine.

Documentation
ISM042

SMCI

Procedure to control all documents and data which are relevant to the SMS (copy of the SMS control page
shall be attached).
ISM043

SMCI

Verify that valid documents are available at all relevant locations.

ISM044

SMCI

Verify that changes of documents are reviewed and approved by authorised personnel.
ISM045

SMCI

Verify that obsolete documents are promptly removed.

ISM046

SMCI

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

ISM047B

SMCI

12.1 Internal Safety Audits of activities

WR

SR

NA

12.2 SMS Evaluation & Review

WR

SR

NA

12.3 Audits and CA

WR

SR

NA

12.4 Independence of Auditors

WR

SR

NA

12.5 Communication of audit results

WR

SR

NA

12.6 Implementation of timely CA

WR

SR

NA

13.1 Document of Compliance (DOC) for

relevant Ship Type
13.2 Issuing Authority and validity
13.3 Document of Compliance (DOC) Ship
Types

WR

SR

NA

Internal safety audits onboard and ashore performed to verify whether safety and pollution-prevention
activities comply with the SMS in intervals not exceeding twelve months.
Date [
]
ISM048B

SMCI

Periodical evaluation of its effectiveness and, when needed, revision of the SMS.
Date [
]
ISM049

SMCI

Audits and corrective actions, in accordance with documented procedures.

ISM050

SMCI

Auditors shall be independent of the areas being audited (unless this is impracticable).
ISM051

SMCI

Communication of audit results and reviews to all personnel having responsibility in the area involved.
ISM052

SMCI

Management takes timely corrective action on deficiencies found.



Certification and Verification

Certification and Periodical Verification

ISM053

SMCI

DOC (Document Of Compliance) is relevant to ship type and flag administration (copy attached to the
report if DOC not issued by BV).
ISM054

SMCI

All periodical audits performed accordingly (in the company and on board the ship(s) ).
Date [
]
ISM055

SMCI

13.6 Copy of DOC on board (not required to

be authenticated or certified)

WR

SR

NA

WR

SR

NA

Copy of the relevant DOC is on board (not needed to be authenticated or certified).

BUREAU VERITAS

Page 6/7

18/06/12

Reg: 15625L



HECTOR

Ref : TA00/2012/S0071

Specific Flag Requirements

ISM056

SMCI

A sample of specific Flag requirements complied with.

ISM103

SMCI

Flag pre-authorisation granted (if required by the Administration).

Yes
No

WR

SR

NA

WR

SR

NA

OPENING/CLOSING MEETINGS REPORT

MEETING
OPENING
CLOSING

DATE
Not set
Not set

BUREAU VERITAS

Not set
Not set

PARTICIPANTS

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OBs

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