GUARDIAN BUREU OF SHIPPING
Check List for Safety Management system
INITIAL/ANNUAL/RENEWAL COMPANY AUDIT
Name of Company
Date & Place
Name of Auditor
Type of audit
On behalf of
Fleet
Ship (only these certified by MCO)
Type of Ship
Flag
Nationalities of Crew
Details (Rank)
Manning Agent, if any
Location
Class
Company Officers
Name
GBS-DOC-CHECK LIST Rev.03 20-02-2013
Department
Opening
Página 1 de 7
Closing
Available/Acceptable/Satisfactory?
YES
No
(See CAR)
YES
No
(See CAR)
YES
No
(See CAR)
1. Objectives
- Objectives of the ISM Code and SMS are understood by the management and key personnel
- Company has adopted some form of assessment of risk
2. Safety and environmental protection policy
Company policy describing the company’s commitment is signed by top level management
- safety at sea.
- Prevention of injury / loss of life.
- Avoidance of damage to environment.
- Avoidance of damage to third party property.
-
Policy statement re company’s expectations and personnel requirements to achieve policy goals.
Language of the policy:
Evidence of policy reviews.
Evidence that policy goals are discussed with all new staff upon joining company/ships.
Familiarity of shore staff with company’s policy.
Evidence that the safety and environmental pollution (S & E P) policy is distributed on board
the company’s ships and is implemented, observed and understood by all concerned.
Remarks:
3. Company responsibilities and authority
Company and management details. Owners have provided appropriate details of the ship operators.
Duties, responsibilities and authority description/ details of personnel involved in SMS. Updated
organization chart.
Ship and shore staff selection criteria.
Shore staff knowledge ability and qualifications.
Subcontracted activities:
Provision of adequate resources / shore support (financial support, technical support, backup
information, database, etc.) for designated person.
Remarks:
4. Designated person
Appointment and details regarding Designated Person’s qualification, training, experience,
function, independence, knowledge ability and familiarity with office and SMS related items.
DPA and management inter-relationship.
Evidence of monitoring activities regarding:
 SMS verification and improvement proposals.
 Monitoring vessel’s performance (e.g. safety meeting minutes, safety inspections, drills,
defect/incident reports, new legislation and industrial guidelines).
 Deficiencies, hazardous occurrences, accidents, incidents and non-conformities including
records of these discussions and shore response.
 Follow-up shipboard meetings, requests, training schedules, effectiveness of corrective
actions.
 Organizing ship and shore audits.
Remarks:
GBS-DOC-CHECK LIST Rev.03 20-02-2013
Página 2 de 7
Available/Acceptable/Satisfactory?
5. Master’s responsibility and authority
YES
No
(See CAR)
YES
No
(See CAR)
Evidence that master is provided with and aware of details regarding his function, duties,
responsibilities, authority.
Statement of the overriding authority of the master re decision making in ship / crew safety and
environmental protection related matters.
Records of shipboard reviews of the SMS. (e.g. safety meetings) and reporting deficiencies
Remarks:
6. Resources and personnel
Evidence that masters serving on board company ships hold the necessary internationally
recognized certificates and are knowledgeable with type of vessels under their command
(CV/experience with vessel type, years with command experience, STCW, etc.)
Recruiting procedures and specifications for masters, officers and crew (qualifications and
medical condition).
Evidence of, master’s training and familiarization courses re shipboard and SMS operation
(training programs and attendance registers).
Evidence of company’s personnel, officers and crew training and familiarization courses re
shipboard/SMS operation .
Evidence that safe manning certificate requirements are met with.
Evidence that work conditions, fatigue problems are considered in accordance with trading patterns.
Evidence of evaluation of master’s, officer’s and crew performance re normal and emergency
operations and identification of the need for additional training if required.
Drug and alcohol policy (medical screening tests (pre-joining) of shipboard crew and drug
search checklists).
New crew familiarization program (familiarization checklist, videos, leaflets).
Evidence re provision of essential instructions, details and requirement necessary for next
intended voyage.
Procedures re language requirements to ensure that SMS emergency and routine duties can
be effectively executed by the ship’s personnel.
Remarks:
GBS-DOC-CHECK LIST Rev.03 20-02-2013
Página 3 de 7
Available/Acceptable/Satisfactory?
7. Development of plans for shipboard operations
YES
No
(See CAR)
YES
No
(See CAR)
Identification of key operations that may affect safety and pollution prevention.
Identification of tasks assigned to appropriately qualified personnel
Key operations are carried out under controlled means taking into account relevant
international and national mandatory rules and applicable codes, guidelines etc (clear/easy to
understand procedures, instructions, checklists, work permits,).
Following key operations should be addressed and relevant records retained:
 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,).
Appropriate library of applicable rules and regulations, guidelines, codes and standards exists
Remarks:
8. Emergency preparedness
Identification of potential shipboard emergency situations.
Guidelines and contingency plans for use by shore management and ships when dealing with
emergency situations. Approved and updated SOPEP manual available.
Language used in guidelines and plans should be readily understood by all concerned (ashore
and onboard).
Shore based contingency plans should cover:
 the composition and duties of the persons acting within the contingency plan
 procedures for the mobilization of an appropriate company emergency response
 procedures to follow in response to different types of accidents or hazardous occurrences
 checklists appropriate to the type of emergency which may assist in the systematic
questioning of the ship during the response
 availability of ship particulars, plans, stability information, and safety and environmental
protection equipment carried on board
 lists of contact names and telecommunication details of all relevant parties who may need
to be notified and consulted
 reporting methods for both ship and shore based management
 procedures for dealing with the media or other outside parties
Drill/exercise scenarios (also joint shore/ship drills) and frequency.
Familiarity of shore emergency response team members with regard to their designated duties.
Drill/exercise evaluation records with identification of areas of concern, corrective
actions/recommendations and follow-up.
Remarks:
GBS-DOC-CHECK LIST Rev.03 20-02-2013
Página 4 de 7
Available/Acceptable/Satisfactory?
YES
No
(See CAR)
YES
No
(See CAR)
9. Reports and analysis of non-conformities, accidents and hazardous occurrences
Ship’s reporting procedures for accidents, hazardous occurrences and non-conformities
(standard forms).
Ship’s reports and company’s response/investigation.
Evidence of corrective and preventive actions (improved procedures, improved emergency
plans, additional training, actions related to improving effectiveness of SMS).
Evidence that feedback details are relayed to –other also- ships (results of company
reviews/meetings re accidents, hazardous occurrences and non-conformities) and received by
person/ship in question.
Remarks:
10. Maintenance of the ship and equipment
Planned maintenance system, including maintenance procedures re all items covered by class
and statutory
Contents of the maintenance system:
 Items included in the maintenance system
 Maintenance frequency/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.
PMS’s records/checklists (stating item inspected, inspection date, name and signature of
inspector, condition, defects/damages, corrective actions,).
Procedures for reporting of maintenance jobs, deficiencies and retention of maintenance
reports ashore and on board.
Date of last Superintedent inspection:
Ship’s name:………………..………Date………………………by………………………………..
Ship’s name:………………..………Date………………………by………………………………..
Ship’s name:………………..………Date………………………by………………………………..
Ship’s name:………………..………Date………………………by………………………………..
Evidence of company review (by responsible and authorized company personnel) of inspection
and maintenance reports, including investigation of defects, deficiencies and non-conformities
with institution of recommendations and corrective actions
Evidence of company support with regard to defects, deficiencies and non-conformities,
including corrective action and follow up / deadlines.
Procedures to ensure required statutory and class documentation and certificates are provided
on board and ashore.
Remarks:
GBS-DOC-CHECK LIST Rev.03 20-02-2013
Página 5 de 7
Available/Acceptable/Satisfactory?
YES
No
(See CAR)
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
Ship and company office SMS internal audit plan (activities to be audited) and schedules
(minimum frequency once per year).
Evidence that all SMS related departments and activities and all ships are audited at the
required intervals
Date of Company internal audit:……………………..by…………………………..
Ship’s name:………………..………Date………………………by………………………………..
Ship’s name:………………..………Date………………………by………………………………..
Ship’s name:………………..………Date………………………by………………………………..
Ship’s name:………………..………Date………………………by………………………………..
Selection criteria (qualification, function, independence) for personnel carrying out internal
audits.
Contents of internal audit reports (summary, conclusions, recommendations).
Evidence that internal audit results are distributed to all relevant personnel.
Evidence that recommendations and corrective actions are dealt with in due time.
Management meetings to consider ship’s operations, emergency situations, national and international
requirements and certification, fleet changes, organizational changes, crewing policies, SMS reviews etc
Evidence re follow-up of corrective actions by competent personnel.
Remarks:
GBS-DOC-CHECK LIST Rev.03 20-02-2013
Página 6 de 7
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
Remarks:
Lead Auditor
Name and Signature
GBS-DOC-CHECK LIST Rev.03 20-02-2013
(date)
Auditor (signature)
Página 7 de 7