contoh form internal audit safety management system

AUDIT CHECKLIST

SAFETY MANAGEMENT SYSTEM

Vessel / Department: _____________________         Date: ________________

	ISM  ELEMENTS
1.2 1.2.1 1.2.2 1.2.2.1 1.2.2. 1.2.2.3 1.2.3 1.2.3.1 1.2.3.2	OBJECTIVES  The objectives of the Code are to ensure safety at sea, prevention of human injury or loss or life, and avoidance of damage to the environment, and to property Safety management objectives of the Company should, inter alia: provide for safe practices in ship operation and a safe working environment; establish safeguards against all identified risks; and Continuously improve safety management skills of personnel ashore and aboard ships, including preparing for emergencies related both to safety and environmental protection. The safety management system should ensure: Compliance with mandatory rules and regulations; and that applicable codes, guidelines and standards recommended by the Organisation, Administrations, classification societies and maritime industry organisations are taken into account.

  

1.3	APPLICATION  The requirement of this Code may be applied to all ships.
1.4  1.4.1 1.4.2 1.4.3 1.4.4 1.4.5 1.4.6	FUNCTIONAL REQUIREMENTS FOR A SAFETY MANAGEMENT SYSTEM (SMS) Company should develop, implement and maintain a Safety Management System (SMS) which includes the following functional requirements. A safety and environmental protection policy; Instructions and procedures to ensure safe operation of ships and protection of the environment in compliance with relevant international and flag State legislation; Defined levels of authority and lines of communication between, and amongst, shore and shipboard personnel; Procedures for reporting accidents and nonconformities with the provisions of this Code. Procedures to prepare for and respond to emergency situations; and Procedures for internal audits and management reviews.

2.0 2.1 2.2	SAFETY AND ENVIRONMENTAL PROTECTION POLICY Describe Company’s safety and environmental protection policy and how the objectives, given in 1.2,will be achieved. Policy is implemented and maintained at all levels of the organisation both ship based as well as shore based.

3.0 3.1 3.2 3.3 4.0	COMPANY RESPONSIBILITIES AND AUTHORITY If the entity who is responsible for the operation of the ship is other than the owner, the owner must report the full name and details of such entity to the Administration  The Company should 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.  The Company is responsible for ensuring that adequate resource and shore based support are provided to enable the designated person or persons to carry out their functions. DESIGNATED PERSON(S) To ensure safe operation of each ship and to provide a link between the Company and those on board, every company, as appropriate, should designate a person or persons ashore having direct access to the highest level of management. The responsibility and authority of the designed person or persons should include monitoring the safety and pollution prevention aspects of the operation of each ship and to ensure that adequate resources and shore based support are applied.

5.0 5.1 5.1.1 5.1.2 5.1.3 5.1.4 5.1.5 5.2	MASTER’S RESPONSIBILITY AND AUTHORITY The Company should clearly define and document the master’s responsibility with regard to: Implementing the safety and environmental protection policy of the Company; Motivating the crew in the observation of that policy; issuing the appropriate orders and instructions in a clear and simple manner; Verifying that specific requirements are observed; and Reviewing the SMS and reporting its deficiencies to the shore based management. The Company should ensure the SMS operating on the ship contains a clear statement emphasising the Master’s authority. The Company should establish in the SMS that the master has the overriding authority and the responsibility to make decisions with respect to the Company’s assistance as may be necessary.

  

6.0 6.1 6.1.1 6.1.2 6.1.3 6.2 6.3 6.4 6.5 6.6 6.7	RESOURCES AND PERSONNEL The Company should ensure that the master is: Properly qualified for command; Fully conversant with the Company’s SMS; and Given the necessary support so that the Master’s duties can be safely performed. The Company should ensure that each ship is manned with qualified, certificated with medically fit seafarers in accordance with national and international requirements.   The Company should establish procedures to ensure that new personnel and personnel transferred to new assignments related to safety and protection of the environment are given proper familiarisation with their duties.   Instructions which are essential to be provided prior to sailing should be identified, documented and given. The Company should ensure that all personnel involved in the Company’s SMS have an adequate understanding of the relevant rules, regulations, codes and guidelines. The Company should establish and maintain procedures for identifying any training which may be required in support of the SMS and ensure that such training is provided for all personnel concerned. The Company should establish procedures by which the ship’s personnel receive relevant information on the SMS in a working language or languages understood by them. The Company should ensure that the ship’s personnel are able to communicate effectively in the execution of their duties related to the SMS

7.0	DEVELOPMENT OF PLANS FOR SHIPBOARD OPERATIONS The Company should establish procedures for the preparation of plans and instructions for key shipboard operations concerning the safety of the ship and the prevention of pollution. The various tasks involved should be defined and assigned to qualified personnel.

8.0 8.1 8.2 8.3 9.0 9.1 9.2	EMERGENCY PREPAREDNESS The Company should establish procedures to identify, describe and respond to potential emergency shipboard situations. The Company should establish programs for drills and exercise to prepare for emergency actions. The SMS should provide for measures ensuring that the Company’s organisation can respond at any time to hazards, accidents and emergency situations involving its ships. REPORTS AND ANALYSIS OF NON-CONFORMITIES, ACCIDENTS AND HAZARDOUS OCCURRENCES. The SMS should include procedures ensuring that non-conformities, accidents and hazardous situation are reported to the Company, investigated and analysed with the objective of improving safety and pollution prevention. The Company should establish procedures for the implementation of corrective action.

10.0 10.1 10.2 10.2.1 10.2.2 10.2.3 10.2.4 11.0 11.1 11.2 11.2.1 11.2.2 11.2.3	MAINTENANCE OF THE SHIP AND EQUIPMENT The Company should establish procedures to ensure that the ship is maintained in conformity with the provisions of the relevant rules and regulations and with any additional requirements which may be established by the Company. In meeting these requirements the Company should ensure that:   Inspections are held at appropriate intervals;  Any no-conformity is reported with its possible cause, if known; Appropriate corrective action is taken; and Records of these activities are maintained. DOCUMENTATION The Company should establish and maintain procedures to control all documents and data  which are relevant to the SMS. The Company should ensure that: Valid documents are available at all relevant locations; Changes to documents are reviewed and approved by authorised personnel. Obsolete documents are promptly removed.

  

12.0 12.1 12.2 12.3 12.4 12.5 12.6	COMPANY VERIFICATION, REVIEW AND EVALUATION The Company should carry out internal audits to verify whether safety and pollution prevention activities comply with the SMS. The Company should periodically evaluate the efficiency and when needed review the SMS in accordance with procedures established by the Company. The audits and possible corrective actions should be carried out in accordance with documented procedures Personnel carrying out audits should be independent of the areas being audited unless this is impracticable due to the size and nature of the Company. The results of the audits and reviews should be brought to the attention of all personnel having responsibility in the area involved. The management personnel responsible for the area involved should take timely corrective action on deficiencies found.

1)     Number of  Non-conformance: _______

2)     Number of Observation  :_______

3)     Number of Findings : _________

 

 

 

Auditor Name :____________________________            Auditor Signature:_________________.