QF8.2.2-4 Audit Checklist & Gap Analysis

/ COOK ISLANDS
ISM Company Audit Checklist / Ship Registration
Survey Form
82A v.2

Audit Dates:

Audit Description: / Initial Annual -Intermediate Renew-Periodical Additional
Lead Auditor:
Audit Team Members:
Company Name / Company Tel/fax/ email
Company Address / Company IMO Number /

Proposals of the Auditor

1. Taking into account:

 No MNC exist

 No pending NC exist

No major accidents / detentions etc
There is no necessity for additional audit
The audit followed ISM code and the ship/company is verified for this

2. It is recommended that the DOC be: issued Annual Endorsed renewed other
3. Comments (if any) -

______

Auditor name printed / stamp & signature Company Representative Signature / name

ISM 2010 Auditable Clauses: (Tick those to be evaluated during this audit)
Each auditor should complete the section of the checklist they have been assigned.
The auditor may provide additional notes and questions regarding the audit trail for each element in the blank space on the checklist. / 1.0 Functional requirements for a Safety Management System
2.0 Safety and Environmental Protection Policy
3.0 Company Responsibilities and Authority
4.0 Designated Persons
5.0 Master’s Responsibility
6.0 Resources and Personnel
7.0 Shipboard Operations
8.0 Emergency Preparedness
9.0 Reports and analysis of nonconformities, accidents and hazardous occurrences
10.0 Maintenance of the Ship and Equipment
11.0 Control of Documents
12.0 Company verification, review and evaluation
A / = Observation / B / = Minor Non-conformity / C / = Major Non-conformity / SQ / = Supplementary Question
Objective evidence / Means quantitative or qualitative information, records or statements of fact pertaining to safety or to the existence and implementation of a safety management system element, which is based on observation, measurement or test and which can be verified
Observation / Means a statement of fact made during a safety management audit and substantiated by objective evidence.
Non-conformity / Means an observed situation where objective evidence indicates the non-fulfilment of a specified requirement
Major non-conformity / Means an identifiable deviation that poses a serious threat to the safety of personnel or the ship or a serious risk to the environment that requires immediate corrective action and includes the lack of effective and systematic implementation of a requirement of this Code

1.4 Functional requirements for a Safety Management System

Question No. / Clause Ref. / Audit Question / Finding / Audit Evidence
YES / NO
A / B / C / N.B. Provide references to documentation where necessary
1 / 1.4.1 / 1. Does the company have a Safety & Environmental Policy?
2. Is it posted?
3. What is the latest revision date?
2 / 1.4.2 / Are there instructions and procedures to ensure safe operations of ships and protection of the environment in compliance with relevant international and flag State legislation?
3 / 1.4.3 / Are there defined levels of authority and lines of communication between, and amongst, shore and shipboard personnel?
4 / 1.4.4 / Are there procedures for reporting accidents and nonconformities with the provisions of this Code?
5 / 1.4.5d / Are there procedures to prepare for and respond to emergency situations?
6 / 1.4.6 / Are there procedures for internal audits and management reviews?

2.0 Safety and Environmental Protection Policy

Question No. / Clause Ref. / Audit Question / Finding / Audit Evidence
YES / NO
A / B / C / N.B. Provide references to documentation where necessary
1 / 2.1 / Does the Company have a documented safety & environmental policy?
2 / 2.1a / Does the Company describes how the objectives will be achieved?
3 / 2.2 / Does the Company ensure that the policy is implemented at all levels of the organization both ship-based and shore based ?
4 / 2.2a / How is this policy transmitted to the ships –shore personnel?

3.0 Company Responsibilities and Authority

Question No. / Clause Ref. / Audit Question / Finding / Audit Evidence
YES / NO
A / B / C / N.B. Provide references to documentation where necessary
1 / 3.1 / If the entity responsible for the operation of the ship is other than the owner, then the owner must report the full name and details of such entity to the Administration?
2 / 3.2 / Does the Company define and document the responsibility, authority and interrelation of all personnel who manage, perform and verify work relating to and affecting safety and pollution prevention?
3 / 3.3 / Does the Company ensure that adequate resources and shore-based support are provided to enable the designated person or persons to carry out their functions?

4.0 Designated Persons

Question No. / Clause Ref. / Audit Question / Finding / Audit Evidence
YES / NO
A / B / C / N.B. Provide references to documentation where necessary
1 / 4.0 / Is there a designated a person or persons ashore having direct access to the highest level of management (DPA)?
1a / 4.0 / Does the responsibility and authority of the DPA or DPAs include monitoring the safety and pollution prevention spects of the operation of each ship and ensuring that adequate resources and shore-based support are applied, as required?
2 / 4.0 / The following is GUIDANCE :
Is DPA qualified as per MSC-MEPC.7/Circ 6/19-10-2007
The Designated Person should have undergone training relating to safety management elements in compliance with the requirements of the ISM Code, particularly with regard to:
1. Knowledge and understanding of the ISM Code, mandatory rules and regulations, applicable codes, guidelines and standards as appropriate.
2. Assessment techniques of examining, questioning, evaluating and reporting.
3. Technical or operational aspects of safety management.
4. Appropriate knowledge of shipping and shipboard operations.
5. Participation in at least one marine-related management system audit.
6. Effective communications with shipboard staff and senior management
Question No. / Clause Ref. / Audit Question / Finding / Audit Evidence
YES / NO
A / B / C / N.B. Provide references to documentation where necessary
3 / 4.0 / The following is GUIDANCE (MSC-MEPC.7/Circ 6/19-10-2007
Is the DPA able to:
4 / 1. Present ISM matters to the highest level of management and gain sustained. support for safety management system improvement
5 / 2. Determine whether the safety management system elements meet the requirements of the ISM Code.
6 / 3. Determine the effectiveness of the safety management system within the Company and the ship by using established principles of internal audit and management review to ensure compliance with rules and regulations.
7 / 4. Assess the effectiveness of the safety management system in ensuring compliance with other rules and regulations which are not covered by statutory and classification surveys and enabling verification of compliance with these rules and regulations.
8 / 5. Assess whether the safe practices recommended by the Organization, Administrations, classification societies, other international bodies and maritime industry organizations to promote a safety culture had been taken into account.
9 / 6. Gather and analyse data from hazardous occurrences, hazardous situations, near misses, incidents and accidents and apply the lessons learnt to improve the safety management system within the Company and its ships.

5.0 Master’s Responsibility

Question No. / Clause Ref. / Audit Question / Finding / Audit Evidence
YES / NO
A / B / C / N.B. Provide references to documentation where necessary
1 / 5.1.1 / The Company should clearly define and document the Master’s responsibility with regard to:
Implementing the safety and environmental protection policy of the Company
2 / 5.1.2 / Motivating the crew in the observation of that policy?
3 / 5.1.3 / issuing appropriate orders and instructions in a clear and simple manner;
4 / 5.1.4 / verifying that specified requirements are observed?
5 / 5.1.5 / periodically reviewing the SMS and reporting its deficiencies to the shore based management.
6 / 5.2 / Is there a clear statement in the SMS operating on board the ship emphasizing the Master’s authority?
7 / 5.2a / Does the Company establish in the SMS that the Master has the overriding authority and the responsibility to make decisions with respect to safety and pollution prevention and to request the Company’s assistance as may be necessary?

6.0 Resources and Personnel

Question No. / Clause Ref. / Audit Question / Finding / Audit Evidence
YES / NO
A / B / C / N.B. Provide references to documentation where necessary
1 / 6.1
6.1.1 / Does the Company ensure that the Master is:
properly qualified for command?
2 / 6.1.2 / fully conversant with the Company's SMS?
3 / 6.1.3 / given the necessary support so that the Master's duties can be safely performed?
4 / 6.2 / Does the Company ensure that each ship is manned with qualified, certificated and medically fit seafarers in accordance with national and international requirements?
5 / 6.3 / Are there procedures in place to ensure that new personnel and personnel transferred to new assignments related to safety and protection of the environment are given proper familiarization with their duties and that instructions that are essential to be provided prior to sailing are identified, documented and given?
6 / 6.4 / Does the company ensure that all personnel involved in the Company’s SMS have an adequate understanding of relevant rules, regulations, codes and guidelines?
7 / 6.5 / Are there procedures in place for identifying any training that may be required in support of the SMS and ensure that such training is provided for all personnel concerned?
Are these procedures maintained ?
8 / 6.6 / Are there procedures in place for ensuring that the ship's personnel receive relevant information on the SMS in a working language or languages understood by them?
9 / 6.7 / Does the Company ensure that the ship's personnel are able to communicate effectively in the execution of their duties related to the SMS?

7.0 Shipboard Operations

Question No. / Clause Ref. / Audit Question / Finding / Audit Evidence
YES / NO
A / B / C / N.B. Provide references to documentation where necessary
1 / 7.0 / The Company should establish procedures, plans and instructions, including checklists as appropriate, for key shipboard operations concerning the safety of the personnel, ship and protection of the environment. The various tasks should be defined and assigned to qualified personnel.
2 / Are there established procedures, plans and instructions, including checklists as appropriate in place on board the ships for key shipboard operations concerning the safety of the personnel, ship and protection of the environment?
3 / Are The various tasks defined and assigned to qualified personnel?

8.0 Emergency Preparedness

Question No. / Clause Ref. / Audit Question / Finding / Audit Evidence
YES / NO
A / B / C / N.B. Provide references to documentation where necessary
1 / 8.1 / Are there potential emergency shipboard situations have been identified?
2 / 8.1a / Are there procedures established to respond to the situations?
3 / 8.2 / Are there programs for drills and exercises have been established to prepare for emergency actions?
4 / 8.3 / Does SMS include measures for ensuring that the Company's organization can respond at any time to hazards, accidents and emergency situations involving its ships?

9.0 Reports and analysis of nonconformities, accidents and hazardous occurrences

Question No. / Clause Ref. / Audit Question / Finding / Audit Evidence
YES / NO
A / B / C / N.B. Provide references to documentation where necessary
1 / 9.1 / Are there procedures are in place ensuring that nonconformities, accidents and hazardous situations are reported to the Company?
2 / 9.1a / Are these reports investigated and analyzed with the objective of improving safety and pollution prevention
3 / 9.2 / Are there procedures in place for the implementation of corrective action?
4 / 9.2a / Are there any measures to prevent recurrence?

10.0 Maintenance of the Ship and Equipment

Question No. / Clause Ref. / Audit Question / Finding / Audit Evidence
YES / NO
A / B / C / N.B. Provide references to documentation where necessary
1 / 10.1 / Are there procedures in place to ensure that the ship is maintained in conformity with the provisions of relevant rules and regulations and with any additional requirements, that may be established by the Company?
2 / 10.2
10.2.1 / In meeting these requirements does the Company ensure that :
inspections to be held at regular intervals?
3 / 10.2.2 / nonconformities are reported?
4 / 10.2.3 / corrective action is taken and reported?
5 / 10.2.4 / records maintained, where and how are they kept?
6 / 10.3 / Does the Company identify equipment and technical systems the sudden operational failure of which may result in hazardous situations.
7 / 10.3a / Does the SMS provide specific measures aimed at promoting the reliability of such equipment or system?
8 / 10.3b / Do these measures include the regular testing of stand-by arrangements and equipment or technical systems that are not in continuous use?
9 / 10.4 / Are the inspections mentioned in 10.2.1 as well as the measures referred to in 10.3 integrated into the ship's operational maintenance routine?

11.0 Control of Documents

Question No. / Clause Ref. / Audit Question / Finding / Audit Evidence
YES / NO
A / B / C / N.B. Provide references to documentation where necessary
1 / 11.1 / Are there established and maintained procedures to control all documents and data, which are relevant to the SMS?
2 / 11.2 / Does the Company ensure that:
3 / 11.2.1 / Valid documents are made available at all relevant locations?
4 / 11.2.2 / Changes to documents are reviewed and approved by authorized personnel?
5 / 11.2.3 / Obsolete documents are promptly removed?
6 / 11.3a / Are the documents used to describe and implement the SMS referred to the SMM?
7 / 11.3b / Does each ship carry on board all docs relevant to the ship?

12.0 Company verification, review and evaluation

Question No. / Clause Ref. / Audit Question / Finding / Audit Evidence
YES / NO
A / B / C / N.B. Provide references to documentation where necessary
1 / 12.1 / Are internal safety audits carried out on board and ashore at intervals not exceeding twelve months to verify whether safety and pollution-prevention activities comply with the safety management system?
2 / 12.2 / Does the Company periodically evaluate the effectiveness of the SMS in accordance with procedures established by the company?
3 / 12.3 / Are the audits and possible corrective actions carried out in accordance the documented procedures?
4 / 12.4 / Is the personnel carrying out audits independent of the areas audited / unless is impracticable due to the size and the nature of the company
5 / 12.5 / Are the results of the audits and reviews brought to the attention of all personnel having responsibility in the area involved?
6 / 12.6 / Is it ensured that the management personnel responsible for the area involved take timely corrective action on deficiencies found/

Auditor Signature

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