COOK ISLANDS Ship

Registration
ONBOARD Survey Form
ISM AUDIT REPORT 82D v.2

Type of Audit/Certificate
Initial Renewal Intermediate Survey Additional

Particulars of ship
Name of Ship Distinctive Number or Port of Registry Gross
Letters Tonnage
                       

IMO Number Type of Ship Deadweight of ship Year of Build

(metric tons)
                       
Company name on      
DOC
Name of lead auditor      
No. of N-C’s       No. of major N-C’s       No. of Observations      
See individual N-C’s for details.
THIS AUDIT WAS CARRIED OUT IN ACCORDANCE WITH THE REQUIREMENTS OF THE ISM CODE, BUT ON BASIS OF
SAMPLING METHOD. THEREFORE IT MUST NOT BE ASSUMED THAT NON-CONFORMITIES OTHER THAN THOSE
IDENTIFIED DO NOT EXIST.

SMC was issued. Valid until: SMC was endorsed on :

Signature and Seal of authorised CI Auditor
Date      

Name of Auditor (printed)

     
Port
     

NCs and Observations received by:___________________________________

Signature Date      

Name (printed)      

Title / Rank      

Audit Interview List

Name Rank

           
           
           
           

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ISM Ref Yes No Rem
1.0 MANAGEMENT RESPONSIBILITY
2.0 SAFETY AND ENVIRONMENTAL PROTECTION POLICY
2.2 Policy Implementation
2.2.1 The Company has ensured that the policy is implemented and maintained at all
levels of the organization on board.
2.2.2 The shipboard personnel are given adequate information on the strategy
2.2.3 The policy is posted in appropriate locations.
2.2.4 There are written proof that the crew has been informed of the policy
3.0 COMPANY RESPONSIBILITIES AND AUTHORITY
4.0 DESIGNATED PERSON (S)
4.1 Name of Designated Person(s):      
4.2 The Master and the senior Officers are aware of the name(s) of the Company’s
Designated Person(s)
4.3 Written communication between the ship and the DPA(s) are available
4.4 The updated telephone numbers of the DPA(s) and their back up are available to
the interested persons onboard
4.5 The results of safety and antipollution audits and inspections are reported to the
DPA(s)
5.0 MASTER’S RESPONSIBILITY AND AUTHORITY
5.1 Master’s Responsibility
5.1.1 The Company has defined and documented the master's responsibilities for the following;
5.1.1.1 -Implementation of the safety and environmental protection policy
5.1.1.2 -Motivating the crew in the SMS
5.1.1.3 -Issuing orders /instructions in relation to the SMS
5.1.1.4 -Verifying that specified requirements are observed in the operation of the SMS
5.1.1.5 -Reviewing the SMS and reporting deficiencies to shore based management
5.2 The Master Standing Orders are signed by master and posted on the bridge
5.3 Master’s Authority
5.3.1 The Company’s statement that the master has overriding authority and
responsibility for safety and pollution prevention can be shown by the master
6.0 RESOURCES AND PERSONNEL
6.1 Master – Qualification and Competence
6.1.1 The Company has ensured that the master is made fully conversant with the SMS

6.1.2 Procedure exist for the change of command and are documented
6.2 Manning
6.2.1 Crew’s qualification certificates available
6.2.2 Crew’s medical certificates available
6.2.3 Officers’ endorsement certificates, or acknowledgement, from Flag State available
6.2.4 The crew-list is available and the ship is manned as per the safe manning
certificate
6.2.5 Full contact details to crew’s next of kin available?
6.2.6 Drug and Alcohol procedures are available, if applicable
6.2.7 All crew-members are aware of Drug and Alcohol Policy
6.2.8 Drug and Alcohol tests carried out on board, if required
6.2.9 The watch-keeping personnel is provided with at least the minimum rest periods
as prescribed by the STCW Code
6.2.10 Watch schedules are posted where they are easily accessible

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ISM Ref Yes No Rem
6.3 Familiarization
6.3.1 The Company has established procedures to ensure that all new personnel and
personnel transferred to new assignments are given proper familiarization on with
the ship, the safety and their duties before assigned to such duties
6.3.2 Records are available for each individual on board
6.3.3 The specific instructions to be delivered before sailing are identified.
The first instruction should ensure that all personnel are able to understand safety
information, symbols, signs and alarm signals, know what to do in event of man
overboard, detection of fire or smoke, abandon ship alarm, identify muster stations
and emergency escape routes, locate and don lifejackets, raise the alarm and
have knowledge of portable fire extinguisher, close and open fire and watertight
doors. All introduction and familiarization training in accordance with Section A-I/6
of the STCW Code and SOLAS Ch. III Reg. 19 Par 2.1
6.3.4 Questionnaire or forms for the familiarisation of officers and crew members, duly
completed, are available
6.3.5 Sufficient time has been allowed for the familiarisation, which was carried out in a
language understood by the crew member
6.3.6 All forms are signed by supervising officer and crew as appropriate
6.3.7 The task of familiarisation supervision is assigned to specific officer(s)
6.3.8 The Officers have knowledge of regulations pertinent to their duties and they are
able to find those regulations
6.3.9 All crew-members have completed familiarization in required time and this is
properly documented.
6.4 Personnel’s SMS knowledge
6.4.1 The Company has ensured that all personnel have adequate understanding of
relevant rules, regulations, codes and guidance that relate to safety and
environmental protection? (Check how this is done on board?)
6.5 Training
6.5.1 The Company has ensured that training is provided for all personnel with
responsibilities within the SMS (SOLAS Ch. III Reg. 10 Par 4)
6.5.2 The training for each individual is documented
6.5.3 The in-service training is conducted according to an approved training program
6.5.4 In case of oil tanker, chemical tanker, liquefied gas carriers, the senior personnel
have special familiarisation training as required; the relevant evidence (course
diplomas or similar) is available
6.5.5 In case of passenger ships, the personnel who have emergency duties in assisting
passengers have completed the training in crowd management and safety
(including awareness of life saving and control plans, assisting passengers to
muster and embarkation stations, mustering procedures); the relevant evidence
(course diplomas or similar) is available
6.5.6 In case of passenger ships, the officers have completed the technical training on
cargo safety and hull integrity; the relevant evidence (course diplomas or
similar) is available
6.5.7 In case of passenger ships, those providing direct service to passengers have
completed the safety training; those with duties in embarking /disembarking have
completed the passenger safety training. Finally, those with responsibilities for
safety of passengers in an emergency have completed the crisis management and
human behaviour training (this last requirement may not be applicable before 1
August 1998); the relevant evidence (course diplomas or similar) is available
6.5.8 All forms are signed by supervising officer
6.5.9 The task of familiarisation supervision is assigned to specific officer(s)
6.5.10 Appraisal forms for crew-members are used
6.5.11 All crew-members have completed training in required time and this is properly
documented.
6.6 Information on the SMS
6.6.1 Procedures and instructions on the SMS written in a language(s) and manner that
is understood by shipboard staff that has specific functional responsibilities in the
SMS
6.6.2 Documentation available that all crew members have been properly informed on
the SMS
6.7 Communications
6.7.1 A common shipboard working language has been established by the Company
This is:      

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ISM Yes No Rem
Ref
6.7.2 Crew members can communicate effectively with each other in the conduct of
normal duties and in emergencies
6.7.3 Master and navigating officers are competent in English “typical expressions”
7.0 PLANS FOR SHIPBOARD OPERATIONS
7.1 General
7.1.1 Shipboard organization is clearly described
7.1.2 Domestic (accommodation, galley..), Hygiene inspections are conducted to ensure
that acceptable standards are maintained
7.1.3 Procedures for carrying out ballast operations in place and used
7.1.4 Procedures to control activities which have been identified as having increased
risk, permit to work procedure etc, are in place and used
7.1.5 Arrangement for the provision and maintenance of medical and first aid facilities
on board is in use
7.1.6 Safety committee system in use and documented
7.1.7 Procedure for controlling the working hours of all shipboard personnel in use
7.1.8 All personnel are wearing safety equipment when and where required
7.1.9 The Chief Engineer’s Standing Orders are signed by c/e and posted in engine
room and cc to the Master, DPA
7.2 SHIP IN PORT
7.2.1 Stowage plan made
7.2.2 Stability calculations made prior to commencement of loading
7.2.3 System with harbour watches and patrols in place/used
7.2.4 Trim, list and stability conditions are monitored on a regular basis
7.2.5 Adequate precautions are taken against accidental spillage onboard the vessel
7.2.6 Disposal of oil, noxious liquids is recorded
7.2.7 Oil record book is up to date
7.2.8 Garbage record book is up to date
7.2.9 The access to and from the vessel is in compliance with the requirements
7.2.10 Authorised visitors on board are logged
7.2.11 Gangway is properly rigged and lighted
7.2.12 A lifebuoy with lifeline is fitted near the gangway
7.2.13 A fire plan is located at the gangway or outside the entrance to the
Accommodation
7.2.14 Sufficient crew are on board at all times to attend moorings
7.2.15 A port Log is maintained recording all port activities
7.3 PREPARING FOR SEA
7.3.1 Draughts prior to sailing are recorded
7.3.2 Stability condition of the vessel prior to sailing is recorded
7.3.3 Assessing weather conditions prior to sailing is recorded
7.3.4 Passage planning is recorded
7.3.5 Securing cargo, hatches and hull openings before proceeding to sea are recorded
7.3.6 Pre-sailing functional checks of engines, steering gear, navigation and
communications equipment, generators, emergency lighting and anchoring
equipment are recorded
7.3.7 The latest radio Navigation Warnings and local area Weather Reports are
available
7.3.8 The ship’s manoeuvring characteristics are displayed on the bridge
7.3.9 The auto/manual steering changeover procedure is displayed on the bridge
7.3.10 The Pilot information card is available and is used
7.3.11 Stowaway search is conducted and results records

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ISM Ref Yes No Rem
7.4 THE SHIP AT SEA
7.4.1 Procedures for the bridge and engine room watch-keeping in use
7.4.2 Procedure for special arrangements for bad weather and fog in use
Procedures for security patrols, fire patrols and other arrangements for
7.4.3
surveillance in use
Discharge into the sea of oily water from machinery space bilges, cargo residues
7.4.4
from oil tankers, noxious liquids and garbage is recorded
7.5 PREPARING FOR ARRIVAL IN PORT
Function tests of all critical equipment prior to arrival in port (tests of engines,
7.5.1 steering gear, navigation and communications equipment, generators and
anchoring equipment) is documented
7.5.2 Procedures for pilotage in use
Procedures for obtaining port information and attending to communications with
7.5.3
port authorities in use
8.0 EMERGENCY PREPAREDNESS
8.1 Shipboard Contingency Plans
8.1.1 Shipboard contingency plans include at least:
8.1.2 -Allocation of duties and responsibilities
8.1.3 -Actions to be taken to regain control of a situation
8.1.4 -Communication methods to be used on board
8.1.5 -Procedures for requesting assistance from third parties
8.1.6 -Procedures for notifying the company and reporting to relevant authorities
8.1.7 -Maintaining communications between the ship and shore
8.1.8 -Procedures for dealing with the media or other outside parties
8.2 Emergency Actions
The procedures give guidance to the master on dealing with the following broad range of possible
8.2.1
emergency situations :
8.2.1.1 -Shipboard fires / explosions etc
8.2.1.2 -Emergency evacuation and abandonment
8.2.1.3 -Flooding
8.2.1.4 -Severe weather / weather damage
8.2.1.5 -Collision
8.2.1.6 -Structural failure
8.2.1.7 -Main engine failure
8.2.1.8 -Steering gear failure
8.2.1.9 -Electrical failure / DG failure / blackout
8.2.1.10 -Grounding / stranding
8.2.1.11 -Cargo shift
8.2.1.12 - Pollution aspects as per SOPEP/SMPEP
8.2.1.13 -Serious illness/injury/fatality
8.2.1.14 -Man overboard / offshore search and rescue
8.2.1.15 -Terrorism / piracy / armed robbery
8.2.1.16 -Casualty handling in general
8.2.1.17 -Helicopter operations if applicable
Approved and updated SOPEP on board. SOPEP /SMPEP drills every 3 months
8.2.2
/initial follow up reports for each drill
8.2.3 SOLAS Training Manual is up-to-date and distributed correctly
Emergency drills and exercises are held at intervals as per drill/ exercise
8.2.4
programme in place. Attached drill / exercise programme
Results of shipboard emergency drills and exercises are evaluated and the
8.2.5
effectiveness of the procedures determined
The drills and emergencies involve the company’s shore based contingency
8.2.6
organization
8.2.7 All drills and exercises are properly recorded
8.2.8 Is the Drill/exercise programme accepted
8.2.9 Meeting minutes available. Date of last safety committee meeting:      
8.2.10 Muster lists Approved / Emergency Instructions are updated in the SMM
Procedures in place for establishing and maintaining contact with shore
8.2.11
management in an emergency
8.2.12 Identified RISKS
8.2.13 Risk assessment performed ?
8.2.14 Actions after risk assessment ?

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ISM Ref Yes No Rem
REPORTS AND ANALYSIS OF NON - CONFORMITIES, ACCIDENTS AND HAZARDOUS
9.0 OCCURRENCES--
9.1 Reports and Analysis
Non - conformities, accidents and hazardous occurrences are reported to the
9.1.1
company ashore, investigated and analysed
Fore Non - conformities, accidents and hazardous occurrences are there
9.1.2
corrective and preventive procedures – actions
9.1.3 All non-conformities have been closed in time
9.1.4 All non-conformities have been properly followed up

10.0
MAINTENANCE OF SHIP AND EQUIPMENT
10.1 Maintenance
The maintenance system includes systematic plans and actions designed to
10.1.1 address all those items and systems covered by class and statutory survey and
ensure that the vessel’s condition is satisfactorily maintained at all times
10.1.2 Are shipboard personnel allocated specific responsibilities?
Preventative maintenance procedures developed and implemented for at least
10.1.3 -- -- --
the following;
10.1.3.1 -Hull and superstructure steelwork
10.1.3.2 -Safety, fire-fighting and anti-pollution equipment
10.1.3.3 -Navigational equipment
10.1.3.4 -Steering gear
10.1.3.5 -Anchoring and mooring equipment
10.1.3.6 -Main engine and auxiliary machinery
10.1.3.7 -Pipelines and valves
10.1.3.8 -Cargo loading / discharging equipment
10.1.3.9 -Bilge and ballast pumping and separator systems
10.1.3.10 -Communication equipment
10.1.3.11 -Waste disposal equipment, Incinerators etc
10.1.3.12 -Fire, gas and heat detection system
10.2.1 Inspections
10.2.1.1 Periodicity of superintendent’s inspections is in accordance with the SMS Manual
10.2.1.2 Date of last superintendent’s inspection to the ship:      
10.2.1.3 No non-conformities made
10.2.1.4 No outstanding defects / n-c’s not rectified / closed from sup. int’s reports
10.2.1.5 No outstanding conditions of class
10.2.1.6 No outstanding flag state defects
10.2.1.7 No outstanding port state defects
10.2.1.8 Maintenance inspections are held at appropriate intervals
10.2.2 Defects are reported to the Company with its possible cause (if known)
10.2.3 Appropriate corrective action been taken and this properly recorded
10.2.4 Records of all activities are maintained
10.3 Critical Equipment and Systems
Does the SMM include equipment and technical systems the sudden operational failure of which may
10.3.1
result in hazardous situation? IF Yes describe below the major of this equipment :
10.3.2 -Alarms and emergency shutdowns
10.3.3 -Fuel oil systems
10.3.4 -Cargo systems
10.3.5 -Emergency equipment
10.3.6 -Safety equipment
System for testing stand-by arrangements and equipment or technical system that
10.3.7
are not continuously used use is in place and used

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ISM Ref Yes No Rem
11.0 DOCUMENTATION
11.1 Document Control
Where relevant, the reader can identify the revision status of the
11.1.1
document and the date of issue
11.1.2 A copy of the DOC is available on board
SMS Manuals are written in a language that can be understood by the
11.1.3
Officers and crew with assigned duties
11.2.1 Validity of Documents
The updated Safety Management System documents (SMS Manual,
11.2.1.1 Company’s manuals, etc.) are available as specified by the relevant
distribution lists.
Specific responsibilities allocated to shipboard personnel in the
11.2.1.2
implementation of this procedure?
11.2.2 Changes and Amendments
Changes are readily identified and notified to relevant personnel
11.2.2
onboard. The position of each controlled document determined
11.2.3 Obsolete Documents
Procedures for ensuring that obsolete documents are removed and
11.2.3.1
destroyed, or kept in file (delete as applicable) are in use
11.2.3.2 Procedures in place, in case a ship is sold, laid up, in repairs etc,
11.3 Safety Management Manual
11.3.1 Officers can easily locate relevant sections in the SMS
Company Verification, Review and Evaluation
12.
12.1 SMS Audits
Internal audits are conducted by the Company at least annually on the
12.1.1
vessel
12.1.2 The audits are performed on the basis of a check-list
12.1.3 Periodicity of audits is in accordance with the SMS Manual
12.1.4 Date of last internal audit of the ship:      
12.1.5 The auditors belong to the Company’s staff external organisation
12.1.6 Audit reports and possible non-conformity forms are available
All non-conformities are closed in time and all related documentation is
12.1.7
available
All non-conformities are investigated and all related documentation is
12.1.8
available
The report of the last audit from MCI and the list of non-conformities are
12.1.9
available
The corrective actions taken to close-out the non conformities have been
12.1.10
reviewed by MCI auditor(s) and are considered effective
           
           

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Non conformities(See individual NCRs for details) were identified as follows:
Major
NCR No. ISM clause To be closed by date Closed-out date
NCR (Y/N)
                             
                             
                             
                             
                             
                             
                             
                             
                             
                             
                             
                             
                             
                             
Remarks / Notes
                             
                             
                             
                             
                             
                             
                             
                             
                             

Date
Name, Signature and Seal (dd/mm/yy)
of authorised CI Auditor
     
Port Area (s)      

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