Checklist For Safety Management System (SMS) Manual For Initial Audit

 

  Nam e of

om pany

hec k lis t f or S M S M a nu a l f or I nitia l Audit

:

Title & Rev.No. of Manual : ! ate of

h hee c k

A u dito r in

No

har"e

 Retention period of this record is  years.

: :

Ite m s to # e che ck e d

$

  h hee c k

ode

corrective actions to a Company when SMM does not fulfill the requirements of the ISM Code Level 1, First steps to be verified -   , Auiditors shall request corrective verified -   , Are details of Manual and procedures procedures adequately correspondin correspondin to the requirements of the ISM Code%  Level 2, Second steps to be verified 

Remark

&.'eneral  .  .  Type of ships under management has been specified?

&(.(

 .  . ) Outline of the Company and a brief description of its business activities

N*

  1. the Organization Organization   2. Location of all offices   (. $umber of employees "shore0based persons and seafarers# of the Company   4. the Types Types of ships  !lag state" state"s# s# and $umber of ships %. &ummary of the principal principal cargoes '. Trade routes of the ships  .  . ( (dditional e)planatory documents

  1. the relationship among among the Company  the &hips and and the Cre* members members   2. Outlines of chartering aand nd management contracts for the ships

 .) +oes the &,& ,anual mention the ob-ectives of the Code are to ensure safety at sea prevention of human in-ury or loss of life

 

&.).&

and avoidance of damage to the environment?

&.).)

 .( &afety ,anagement ob-ective of the Company should

1 provide for safe practices practices in ship operat operation ion and a safe *oring environment environment 2 assess all riss to its ships personnel and the environment and esta establish blish appropriate safeguards safeguards / continuously improve safety0management safety0management sills of personnel including including preparing for emergecies emergecies

&.).(

 .+ &,& ensures that

  1 complia compliance nce *i *ith th the mandatory rules and regulations?

&.).(.&

  2( (pplicable pplicable cod codes es guidelines and and stanadards are taen into accoun accountt

&.).(.)

NIPPON KAIJI KYOKAI

CHK-MANUAL-e(2016.11)

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No

Item s to #e c hec ked

$

  heck

ode

 Level 1, First steps to be verified -   , Auiditors shall request corrective actions to a Company when SMM does not fulfill the requirements of the ISM Code %  Level 2, Second steps to be verified -   , Are details of Manual and procedures adequately correspondin to the requirements of the ISM Code-

Remark

). SA/0T1 AN! 0N2IR3NM0NTA4 5R3T0 TI3N 534I 1 )

) . &afety and nvironmental 3rotection 3olicy has been established? ) . 3olicy or &,& manual describes ho* to achieve the ob-ectives given in paragraph 1.2 of the &, Code?

).&

2.1.1 How to achieve safe practices iin n ship operation and a safe working environment. 2.1.2 How to assess all identified risks to it itss ships, personnel and the environment and establish appr appropriate opriate safeguards. 2.1.3 How to continuously improve safety-management skills of personnel ashore and aboard ships, including preparing for   emergencies related both to safety and environmental protection.

(.

) .) +oes the Company ensure 3olicy is implemented and maintained at all levels of the organization 

).)

) .( &ignature of top management and date are indicated on the 3olicy

N*

3M5AN1 R0S53NSI6I4IT1 R0S53NSI6I4IT1 AN! A7T83RIT1 ( . The responsibility authority and interrelation of all personnel have been defined and documented?

(.)

3.1.1 The re responsibility sponsibility and authority of shore shore personnelpersonnel onboard defined! 3.1.2 "rgani#ation chart to indicate interrelation of all personnel are established! 3.1.3 're there consistency between (organi#ation chart) and (documented responsibilitie and authority) .

(.(

( .) The company5s responsibility

 ensuring that a de$uate resources and shore-based support are provided to enable the %&' to carry out their function! !"a all organization units"such as 6T 6T ,6,eeting# are described on the organization chart ?

+. !esi"nated 5erson9s:

+

+ . To ensure the safe operaion of each ship and to provide a lin bet*een the company and those on board  

+esignated 3ersons (shore"+3(# (shore"+3(# have direct access to top management? + .) s responsibility and authority including mon itoring the safety and pollution0prevention aspects of the operation of each ship7?

shore-based support to ships are applied, as re re$uired! $uired! + .(  'nd ensuring that ade$ate resouces and shore-based #"a

MSC;M05C.

s it ensured that +3( has appropriate no*ledge and e)perience ?

NIPPON KAIJI KYOKAI

CHK-MANUAL-e(2016.11)

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No

Item s to # e ch ec ked

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  he heck

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 Level 1, First steps to be verified -   , Auiditors shall shall request correc corrective tive actions to a C Company ompany when S SMM MM does no nott fulfill the requirements requirements of the ISM Code Code of Manual and p procedures rocedures ad adequately equately corre correspondin spondin to th thee requirements of of the ISM Code%  Level 2, Second steps to be verified -   , Are details of

Re ma rk

. Master?s responsi#ilities and authority .&

follo*ing responsibilities and authority defined and documented?  . (re the follo*ing *.1.1 implementing the safety and environmental-protection environmental-protection &olicy of the +ompany *.1.2 motivating the crew in the observation of that &olicy *.1.3 issuing appropriate orders and instruction in a clear clear and simple manner  *.1. verifing that specified re$uirements re$uirements are are observed  *.1.* periodically reviewing the the  and reporting its deficienci deficiencies es to the shore-based management.

.)

 .) !ollo*ing ,aster5s authority are established in the &,&?

*.2.1 "verriding 'uthority *.2.2 to re$uest the +ompany/s assistance as may be necessary

>. R0S37R 0S AN! 50RS3NN04 >.&

> . The Company should ensure that the master is8

'.1.1 properly 9ualified for command '.1.2 fully conversant *ith *ith the Company5s &,& '.1./ given the necessary support so that the ,aster5s ,aster5s duties can be safely performed > .) 3rocedures to ensure that each ship is manned *ith 9ualifiedcertified and medically fit seafarers as per re9u irements?

3rocedures to ensure that each ship is manned in order to encompass all aspects of maintaining safe operation on board? > .( 3rocedures to ensure proper familiarization for ne* personnel and peronnel transffered to n e* assignment?

>.).& >.).) Resolution A.&@+ .+ 3rocedures to ensure all personnel have an ad9uate understanding of relevant rules regulations codes and guidelines ?

>.+

> . 3rocedures for identifying any training *hich may be re9uired in support of the &,& ?

>.

3rocedures to ensure such training is provided for all personnel concerned ?

> .> 3rocedures by *hich the ship5s personnel receive relevsnt information on the &,& in a *oring language or languages

>.>

understood by them? > .< 3rocedures to ensure that ship5s personnel are able to communicate effecitvely in the e)ecution of their duties? NIPPON KAIJI KYOKAI

CHK-MANUAL-e(2016.11)

>.< Page-3

 

No

Ite m s to # e ch e ck e d

$

  heck

ode

 Level 1, First steps to be verified -   , Auiditors shall request corrective actions to a Company when SMM does not fulfill the requirements requirements of the ISM Code the ISM Code %  Level 2, Second steps to be verified -   , Are details of Manual and procedures adequately correspondin to the requirements of the

Remark

$"a Criteria for assignment of ,aster ? $"b 3rocedures for controlling manning activities *hich have been subcontracted? $"c :oring language onboard has been defined?

NIPPON KAIJI KYOKAI

CHK-MANUAL-e(2016.11)

Page-4

 

No

Ite m s to # e ch e ck e d

$

  h eck

ode

 Level 1, First steps to be verified -   , Auiditors shall request corrective actions to a Company when SMM does not fulfill the requirements requirements of the ISM Code Code %  Level 2, Second steps to be verified -   , Are details of Manual and procedures adequately correspondin to the requirements of the ISM Code

Remark

' < .( 3rocedures to avoide e)cessive fatigue onboard accoding to &TC: (0;