Académique Documents
Professionnel Documents
Culture Documents
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{Scopeireason):
AuditLocationGulf of Mexico Dateof Audit: 2002{5-16 order Request Reference: 523fl.2246 I nol completed, new Non-Confomity actionsfrompreviousauditswereverifred.E see Corrective No. TheAuditresulted in: MaiorNon-Conformitiesr Noo-Conformities: Findings: 2 Observalions: 11
flAhnitaon<:
'tnich possesa serious deviation tfreat to peFonnelor ship safetyor a seriousrisk to lhe MajorNon-Conlormities: An rdentrnable environment reguires and lrmediate corrective aclion;in addition, laokof etfec{ive Eystemalic ihe and implementation a requkement the ISMCodeis alsoconsiderect a majorNon{onfomity. of of as
ller-CaDfarmilics: An obocdcd oituolion whotc obFotiyc cvidcnoc indiootoo thc non.fulfilmoni of a opooifrod roquiremcnl.
Findings: Observation:
A non-fulfilment of obiectives or requirement delined by lhe company which goes beyond whal should be sublect to mandatory ISM Code certilication. lt does nol alfed the bsue or renewal of a DOC and/or SMC, A statemenl otfact during a safely managemenl audit and substantlated by objective evidence- lt may also be a statement by the Auditw refening to the Sfvrc wftich, if not corected, may lead to a Non4ontormity in the tuture
Cornpleled with Non-conformities, conditional upo$ lhe agreed schedule ftr corrective action bing completed as indicaied. R*ulted in Maiq Non-Contormfrles. ,se of or endoEer'enl of lhe SMC is pending corslive by and addilionalverification DNV. action by company
NOTE (tl: The Audit is ba*d upon a sampling prmess. When no Non-Confomities have been reported, it dms not mean lhal none exisl NoTE (2): lssue of Shon Term SMC is equivaleni to recommendalion for Full-Term Certificate. El lssue of SMC has ben RECOMMENDED. fJ lssue of SMC has NQT been RECOMMENDED. fJ D sMc has besn ENDORSED. suc nas NOT tleen ENoORSED. Noroontdmilies E} Additional remarls D
Maior Non-Conformities I
Houston
2002-05-15 200245-18
Dovid
M. Lo.imct
Sighoturo
by: Veriried
Distribution:
-Igllf-uttr
Signature
This audit repod shall be retained on file by the Company ftr al leasl seven (7) years from date of audil
Onoinal to Comoanv
icoov to oNV/MTP: El
Page
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5c+03
Exhibit No. Worldwide Court Inc.
TRN-MDL-02830621
TREX-05483
NrlI
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D
Organisational Unil
AuUitRd. I Main office n Branch Offrce
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AUDIT PROGRAMME
DoePwatcr Drilling lnc. Co.DNV ld No. 1sa72,l Sf$p DNV ld No. HORIZON"
gtondord
lAddiliondl!
othc.
& Prevention)l._E_ of ISM(Managemenl SaleShipOperatlon Poilution Prolection) I of sEP (Management safety & Environmedal
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ISO9OC1:2&)O
ISO 14OOl:1996
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Audit lanouage (if dher than English):
T
(lSM)code tnternalional Management Satety A.741{18) IMOResolrJtion of Guldelines lmPlementation the ISMCode on A.7EE(19) IMOResolution (SEP) Protection ot DNVRulesPt- 7 Ch. 5 - Management Safetyand Environmental rso ,troor I ICO SOOOoorici fi
Special Flag Slale requirements Other U (spsify): I
tr
Audil Execution: lto irclude the toilowingas appnfri||F-) SMS Document Review / Personnel Interviews / PhFioal Condilions Tour / Pre 8 Post Audil Meetings / Oiher:
Person Funclion / HS&h Onenlatron Document Review Opening Meeting Mastel Chief Oflicer Mate/OPO Mate/oPo Redio Operator/ClerK Deck Pusher Crane Operatol
Dale As blow
Slarl End
ToDics(lSO) / Remarks
't4'rJoo
-r4-r500
DL/AO
1 4 1 5 4 5 't41715
DUAD
All department heads DUAD
DL
DL
OL
DL
Bosun
Able Seaman
Ruustdbgut
.r50650
142215
160456
DL DL DL
DL
DL
otM
Twlpushcr
151900 152000
1 5 1 6 ' t6 't51615
DUAD
DUAD
Driller
Floorhand
Flqsrhand
5 151315 15141
DL
151215 151230
't5,1230 16.t24t
DL
Audit ReportDistributaon: Ptanned El /copyto DNVIMTP: to Original Conlpany; to Copy Fl3gStatAdminist(atjgln: D /Otner: lntornetionatteched: 0 y9s Additionat AuditProcrcmme
El Houston
+47 TeL NTr +4767 57 99 o0. TELEFAX: 67 s7 99 11 NORWAY, 1, Dff NOISXf VERIT.AS, ve RtTASvEtEN |l-1322H@vlK, Form No i 4C.09Oa l$ue: January?O02
Page I of 1
TRN-MDL-02830622
FDI
I'I'T -I:.:T I-
DET NORSKEVEzuTAS
MaritirneSafety Managementand Pollution Prevenlion ISM CERTIFICATION A SEP CLASSIFTCATION ISO 9000 series ISO 14001 n tr
lr tt-rI
EM
Ship Name:
n
Organisalional Unit AuUlleU. I uainorm Office D Braoch El sniptoaro [-l otner:
AUDITPROGRAMME
DccPwatet Drilling Ino. Co. DNV ld No. 10E724 Ship ONV ld No HORIZON"
"DEEPWATER
24037
Auditor(Team): David M. Larimer, Antony O'Souza
yPe
i Rcrrswol
Audrt Scope, Ohiectives .Sldpuqru -, 1 lgilial tSM (Management of Safe Ship Ope{ation E Pollution Prevention) i E :_
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Salely Management(lSM) Code lMo ResolutionA.741(18)International IMO Resolution A.788('tg) Guldelines on lmplementation ol the ISM Cod DNV Rules Pt. 7 Ch. 5 - Management o{ Safely and Environmental Protection (sEP) too t<oor ! l5o gooo ssi6 n speciat Ftag Slate requirements f] Olher n (specify):
txl
Audif Execution: (to ioclud the lelwitE as ePploPrisle) SMS Document Review / Personnel Intervleffi / Physical Condilions Tour / Pre 6 Posl Audit Metings / Olhel
/ Person Function Chief Eng'rlMaint. Supervisor First Assislant Engineer Second Ass't Engineet Third Asst Engineer Mechanical Supervisor Mechanic Electrical Supervrsot Electrician Electronic Technircian Motor operator Welder RSTC
RSTT
Toolcs {lS0) 1
UUAU
AD AD AD AD
AD
AD
150730 t 42100
AD
150700 150715
1 5 ' t 8 3 0 t51845
AD
AO
AD DUAD
DL
DL
DL
AD
.r roo.ro
,50s.t 0
Campboss
Chief Cook
StaIf
DL DL
DL
150830
W a l k a r o u n dt o u r
152't 00
16000()
Planned Audil Report Dislribution: origrnalto company: Coa/ to Flag S!t!g Administfaton: Addttionar Audit P!9gr,a\DZDP!gg!9!E lcopy to ONViMTP D al!ggbe-d-D Yes E No
E l / C o p y t o O N V n S M C o - o r d i n a t o rE l H o u s t o n
-... --. -. Page 1 of '1
TRN-MDL-02830623
[6 EM
Vssel Name
195724
DNV ld. No
HORTZON'
DNV Audilor Nams(s):
21037
ShiPboard fi
David M. Larimer
TypeAudlt: ComPanY fl
D'Souza
De$ripJion ot Defrciencv,l Devialion: {1 ) Reauirement Slatemenl: authority The ISM Code requires that every Company shall define and document the responsibility, of all personnel who manage, perform or vetrty work affecting safety. interrelation ffi / System/Pr*eduteisnot(eflectiveuimPfemented Deficiency: System/pr@edureisnot(adeguately)defined and D
(Z)
(3)
Evidence found that certain responsibilities and authorities were not fully defined and docutnented. Examples: - Written designation of person in charge issued July 200'l designated OIM'S as ihe primary persons in charge with masters noted as altemate persons in charge. (Ref. designation being required by HQS*'ISE'l 001 Section 2 Subsection 2 1.2, HOS-OPS{0i Section Subsection 3 2.2.2 and HOS-OPS'004.) - DWH-HSE-oo1 Section 6 Subsection 3 states that the OIM is the Pe6on in charge. The above two itms arc contrary to the following designations ol the master as person in cnarg: - Approved station bill states that the Master shalt b in command and coordinate all emergency resPonse The same a6ijit'res contrary to the written and displayed designation of the OIM as Personinharge, station bill indicates lhat the OIM shall assist the Master {Ref. to SMS documents above). - Maste.,s iob description dated 01 Oct 2001 states the Mastefs responsibility to "assume th requlred regulatory responeibility to exercise effectiv control and efficient operetion ofthe vessl with due regard Authorityis foithesafetyoftl|ecrew,thevessel,itscontentsandtheprotectionoftheenvironment." indicated as "To Act" without consultation. This statement is contrary to the written and displayed ctesignatron ot tne utM as Person-ln-Gnarge. (flM's Job descrlptlon otlh same date des nql centahr a to his similar responsibilities ss Person-in4harge (Ref. to SMS documents ebove). s;1ijT,ylerence - Job description dated October 2001 for Deck Pusher indicated that he was part of the deck departmert although tt was indicated onboard that be was part of the drillang dePartment - Orgaiization chart in DWHHSE-oo1 Section 1 indicates that Dck Pusher, Crane Operator and Roustabouts are part of the deck department although it was indiceted that they actually serve as part ofthe drilling
N/A n
(for ISM Finding)
nl eorcchve aetions uoon comDlelDn
Notreguired: E|
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@b-h
Page I ol I
TRN-MDL-02830624
to cw6t cdtective
Nm4mflmiii6 action(s):
valttit)
Uompany Rep Slgn (m 4!, wt!ile gtg) efledivelv Te verified 6 p@lqE-d indcwnted).
elocs
Nemo:
:
Sign: i
DNVRemarts:
Name Sign:
+47 67 57 99 11 TELEFAX: NORWAY, TEL INT: +4767 57 99 OO, 1, DET NORSK-EVERITAS, VERITASVEIEN N.1322 I.IOVIK, Form No.:40.091a lssue:January 200?
Page
Z ol I
TRN-MDL-02830625
[6 EW
Compony T-nc^-a'n Nome: r}ff<hde f)eeowater
tr
n
DNV ld No
195721
DNV ld. No.: )i,.n17
Vessel Name:
.DEEPWATER HORIZON''
TypeAudit: CmpanY I Shipboard[} Name(s): DfW Auditor David M. Lrrimer AntonY O'So,tre tr
Reference(s):
SEP Rules:
I MajorllonGonfomity
MNCDowngradd n
| :;:;il'-.r r
I
I
E lH""":fffii
(2)
(3)
The ISM Code requires the Company to clearly define and document the Maste/s (OlM'e) responsibility with regards to reviewing the SMS end reporting its deficiencies to shorc-based maoagement. E Deficiency: System,/prnedureisnot(adequately)defined / System/procedureisnol(etfectively)implemenled D
ObjectiveEvidence:
Evidenc found that Company procedures for Master/OlM review were not fully implemented. Examples: - No evidence found that self-audit audits past or present had covered a scoPe of the SIJISequivalent to the ISM Code; e.g, no records or plans of eelf audit of document control, operations, human resources or rnainlenance functions, - Audlt cnecKllsts tor Qualry Manual ano yvell control Manual could not be tound onireard or ort llrternet. "Assessment Manual" as referred to in HQS-TFS-001Section 2 Subsection 1 5.10 (or similar audit cheeklist) could not be found onboard,
Frnal Correciive Action a-qreed completerlby (date): 2002{8'14 V of coneclivs actions uPon cor Not required: Q(
NlAn
(for ISM Finding)
Requied:
L___..---nilyrMefias Bo,&@d.h6FdtobEk3eud -;;H*,h*#; tuobt&r''td.v6tudd*tld$H6*. ri*i""voic-"'i.l*ne v@. tMhNcrev!fu#rFtdnF*bd lyov@ir dddsdndkN6te drobr|ElMta6''frqtu*dshqEHsffidmlu'|tl.hn(;mt*qbdtltwlr#u9:hrhhGFMG| ilTy&r4fi&tdkNaevk dd6, das..4by.6.:FE F.o'qEFddnd kd
76 D E T N O R S K E V E R I T A S , V E R I ' I A S V E | E N l , r ' ! 1 3 2 2 H @ V | K , N O R W A Y , T E L T N T . + d 7 6 7 s 7 9 9 m , T E L E F A K + 41 1 7 5 7 9 9 J F o r m N o . : 4 0 . 0 9 1 a l s s u e : a n u a r yl u u l
Fage
at 2
TRN-MDL-02830626
Ns4ddmittes actbn{s):
I ! I
I
Company Rop oigr {-hoo gJ --+o aN elleclivelv are vqthed as 2WE!S!! do.* Name
l@zwde$: ONVRemarks:
sign:
_l
i
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I I
N:lrne: Sign:
i Dale i
TRN-MDL-02830627
[ffi EW
Name: Company 1. 2.
or requirements guldelines: to with Descriptions references relevant Recommend that a bathymetric Ghart should be sbtained for the current location. Recommend that an alternative means of verifying stability should be used to check the onboard stebitity program at two weeks' intorvals as sPecified in HQSOPS{o4 Sec tion 3 subsection 1' for 3. Some personnel interviewed stated that spring{oaded safety catches on crane hooks were stifi and difficult one Derson to use when connecting loads. Recommend that vessel's management should consider replacement or mbdificalion of the safety catches in order to avoid pinch points' 4. Recommend that tbe SOLAS training manual should be revised to include malerial on fire fighting equipment as specifbd by October 2001 amendments to SOLAS. Further recommend that the location of the SOLAS training materials should be indicated during the HS&F orientation' 5. Recommend that a pefiodic check ot tfre reeter pcr(eo{n alatrns stloulo De Incluoed as pan ot rne malntenance system. 6. Recommend that tunction test of the bilge and ballasl system should be included in the planned maintenance Section 3 Subsection 1 7.3. system al two weeks'intervals as specined in HQS{PS{04 7. Rlsommend that the hazardous area plan should be posted adjacent to the permit-to-work administration area. weld E. Recomrnend that welding carried out in conjunction with repairs should be performed as pr Class-spproved procedures andfor with hydrostatic testing. In addition, a working copy of the weld procedures should be made available to rlevant personlrel.
3,
training status, Recom-menathaf tlls system or similar should be incorporated into thc SMS (ref. ISM Code 6.5)10. Recomhend that the fire in no. 7 switchboard room should be reported thlough th SMS in addition to reports already noted onboard. {seveml rports were noted, but no incident report genenated as specified in the SMS was found during the audit.) 11. personnel dlmonstrated a professional and diligent approach to the SMS and vessel's operation in general. Recomrnend that they should be congratulated for their efforts.
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TRN-MDL-02830628
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DETNORSKE VERITAS
24037 195724
HWl
SAFETYMAN,AGEMENT CFRTIFICATE
lssued under lhe provisionsof the JNTERNATIONAL CONVENTIONFOR THE SAFEfi OF L|FE AT SEA, 1974,as amended lssued under the authontyof lhe Govemmenlof: by Del Norske Verilas AS
lJ6mc ot !hip:
Republicof Panarna
..DEEPWATEFI HORIZON" H3SM PANAMA Mobile Offshore Drilling Unit 32588 8764597 Transocean Offshore Deepwater Orilling Inc rour greenway P,aza Houston, Texas 77046 USA
i THIS lS TO CERTIFYTHAT the safeiy managemenlsyslem of the ship has been audited and that it complieswith the j requirernents the lnlernatjonal ManagementCode for the Safe Operetionof Ships and for PollulionPrevenlion(lSM Code), of verifcalion thal the Documntof Compliancelor the Companyis applicable this type o{ ship to I followirrg
2002-10-15
lssued al:
200245-16
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TRN-MDL-02830629