GUARDIAN BUREAU OF SHIPPING

Check List for Safety Management system

INITIAL/INTERMEDIATE/RENEWAL VESSEL AUDIT

Name/flag of Ship
Date & Place
Name of Auditor
Type of Audit

Language of the ship:

Nationalities of Crew

/ Details (Rank)
Opening/closing meeting
Name / Department / Opening / Closing
 / 
 / 
 / 
 / 
 / 
 / 
 / 

Available/Acceptable/Satisfactory?

/

YES

/ No
(See CAR)
1. Objectives
Objectives of the ISM Code and SMS are understood by the management and key personnel
Status of Ship’s certificates, log books, overdue recommendations
FlagState additional ISM Code requirements incorporated in the SMS.
2. Safety and environmental protection policy
Copy of the company’s policy conspicuously mounted on bridge, in the engine room, public spaces and mess rooms.
Familiarity of ship’s staff with company’s policy.
Remarks:

Available/Acceptable/Satisfactory?

/

YES

/ No
(See CAR)
3. Responsibilities and authority
Notification to Administration. Copy available onboard.
Organization chart, Ship-shore interrelations, Description of responsibility / duties
Adequate resources and shore based support.
Remarks:
4. Designated person
Instructions re contacting DP-Shore / DP contact details.
Seafarers familiarization with DPA ‘s role/name
Remarks:
5. Master’s responsibility and authority
Definitions of the master’s duties, responsibilities and authority.
Evidence that master is provided with and aware of details regarding his function, duties, responsibilities, authority. Documented procedures for specific duties delegated to officers under his command
Statement of the overriding authority of the master re decision making in ship / crew safety and environmental protection related matters.
Request to master to implement the S&EP policy of the company on board and motivating crew with respect to S&EP matters (i.e. signature of crew confirming that company procedures manuals have been read/understood).
Evidence re specific measures to ensure that procedures and instructions are complied with during day to day shipboard operations, shipboard management and S & E P matters (checklists, job instructions, standing orders, night orders, log books, record books etc.)
Evidence that SMS is reviewed (min. 1x/year) and deficiencies/anomalies reported. (Records of shipboard reviews of the SMS –safety meetings-).
Remarks:
6. Resources and personnel
Appropriate endorsement of certificate for ship type –original only-.Familiarization for a specific ship type (i.e. tanker & Ro-Ro familiarization)
Master’s knowledge about SMS. Evidence of company briefings for master.
Evidence about crew member’s familiarization (interviews / questioning...) On board familiarization and training information (books, checklists, videos,...). Language of familiarization:
Crew health/medical fitness. Watch schedules (posted) drawn up in accordance with STCW.
Manning according to Safe Manning Document
Evaluation of personnel performance.
Drug and alcohol information, observation, deviations, disciplinary actions. Drug prevention and drug search checklists.
Identification of training needs, additional on board training and shore support.
Relevant SMS documentation is provided to (working) language understood by the crew
Communication between ship’s personnel when executing SMS duties (proficiency in common language).

Available/Acceptable/Satisfactory?

/

YES

/ No
(See CAR)
Remarks:
7. Development of plans for shipboard operations
Key shipboard operations that may affect safety and pollution prevention have been assigned to appropriately qualified persons.
Evidence that procedures re:
  • Bridge operation procedures.
  • Engine room operation procedures.
  • LSA/FFE operation/use procedures.
  • Pollution prevention procedures.
  • Cargo procedures.
  • Health and hygiene procedures.
  • Permit system related operations (hot/cold/electrical work, entry in enclosed spaces,).
  • Safety related operations (mooring operations, drug/stowaway prevention, ship’s security,)
are being followed (properly filled out logbooks, records, checklists,).
Remarks:
8. Emergency preparedness
Identification of potential shipboard emergency situations according to SOLAS , MARPOL and Company programs to respond to all potential emergency situations
Guidelines and contingency plans for use by ships when dealing with emergency situations. Availability of an approved and updated SOPEP.
Following items should be covered by ship guidelines:
  • Duties and responsibilities of ship’s crew/emergency squad.
  • Shore contacting details.
  • Checklists.
  • Recording procedures.
  • Communication details.
  • Reporting requirements.
  • Handling with media/third parties.
  • Shore assistance request.
  • Readily availability of emergency related key-data.

Available/Acceptable/Satisfactory?

/

YES

/ No
(See CAR)
Familiarity of ship’s crew / emergency squad with regard to their designated duties.
Drill/exercise records.
Drill/exercise evaluation records, corrective actions/recommendations and follow-up.
Remarks:
9. Reports and analysis of non-conformities, accidents and hazardous occurrences
Evidence of ship reporting for accidents, hazardous occurrences, non-conformities and recommendations
Evidence of company’s response and implementation of corrective action and evaluation of effectiveness.
Remarks:
10. Maintenance of the ship and equipment
Planned maintenance system, including maintenance procedures re all items covered by class and statutory requirements
Contents of the maintenance system:
  • Maintenance frequency (maintenance schedule).
  • Maintenance instructions (incl. Plans, data and guidelines).
  • Reporting of maintenance and results.
  • Testing of emergency and back up equipment.

Identification of documents used in the planned maintenance system.
Evidence of maintenance and inspections at required intervals (i.e. properly filled out maintenance and inspection checklists -continuous machinery survey updated-) and signature of inspector.
Performance/knowlegeability of personnel (theoretical and practical knowledge) trusted with maintenance and inspection jobs.
Damage/deficiency reports to company and evidence of shore support (assistance, shore feedback,etc).
Evidence of superintendent visits (general visits, visits in case of major repairs, superintendent reports).
Availability of reference works, class and statutory documentation and information.
Remarks:

Available/Acceptable/Satisfactory?

/

YES

/ No
(See CAR)
11. Documentation
Are all ISM requirements addressed in the “Safety Management Manual”
Control, amendment, approval and distribution of SMS documentation in accordance with company guidelines (under supervision of designated person).
Third –Party documents in use, are controlled (e.g. Rules and Regulations, charts and publications, key operating manuals, key ship’s drawings –stability, SOPEP etc-.
Procedures to remove obsolete documents (on board and ashore) (and retention of same for document control purposes only). Master revision page updated.
Evidence of document review, modifications and approval of revised document prior to issue (by authorized person).
Adequacy of numbering/identification and revision status of documents.
Manuals, documents and instructions requested by compulsory requirements or by the Company.
Evidence that changes to SMS documentation are distributed, received, incorporated in the SMS and understood/acknowledged and followed by all relevant personnel.
Remarks:
12. Company verification, review and evaluation
Evidence of shipboard audits (when, by whom, results, corrective actions, follow-up) according to the company’s program (at least annually).
Contents of internal audit reports (summary, conclusions, recommendations).
Evidence of corrective actions of the internal and external (e.g. PSC/class/flag) audits, are completed and/or planned within an agreed time period.
Evidence that internal audit results are distributed to all relevant personnel.
Remarks:
Non conformities were identified and documented in Corrective Action Requests (CARs) as follows:
CAR No. / ISM clause / Major / Minor / Restoration due date
 / 
 / 
 / 
 / 
 / 
 / 
 / 
 / 
 / 
 / 

See individual CARs for details

Lead Auditor (signature) / (date) / Auditor (signature)

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GBS-CHECKLIST-SMC Rev. 0220-02-20131/6