SMGF-S - CMS-08 Oficce Audit Checklist

SUPPORT MARINE GROUP SMGF-S-CMS-08
Issue: 1
FORMS MANUAL Rev: 00
Issue Date: 01/06/2018 Reviewed by: ---
Approved by:
OFICCE AUDIT CHECKLIST Page: 1 de 22
HSQE Manager
Description Reference Remarks

Document control
Are controlled documents available as listed?
Is current revision status and amendments (if any) clearly displayed
Are all controlled documents approved & authorised as indicated?
Is Master copy kept by the DPA?
Check booking out system of Office library
Is controlled documents transmittal form used for every transmission of such
documents? Is it following the Controlled Documents Matrix?
Have controlled documents been reviewed after quarterly management
reviews?
Has any change been requested with Document Change Request?
Is the Register of Document Request updated by DPA.?
Is Controlled Documents Matrix updated in accordance with the
amendments effected
Is Amendment Record Sheet being updated according to revisions?
Check for superseded documents. Are they stamped “ SUPERSEDED”
Are original Controlled Documents distinguished from copies?
Check Office Library against List of Publications
Check Inventory of Ship’s Documents
Check distribution requirements as per Table 1
Is the List of Forms updated by HSQE Manager?
Contract review
Check for evidence of consent (signature & company’s stamp) of the Top
Management on the Ship Management Agreements (SMA).
Check for amendments on SMAs. Have any reviews been performed. Are
they in line with related procedure requirements?
Have the amendments been reviewed and initialled by the Top Management
Have the Company Representatives ensured that the Owners have reported
the full name & details of the company to the Flag Administration
Check for any amendments and their approval (signatures)
Management of change
Check for changes to routine and non-routine tasks that may affect the safety
of operation. Check the cases described in 3.1
Check levels of authority and involvement of higher authority personnel on
risk reduction measures, based on the level of risk involved.
Has the change management process identified any training requirements?
If yes, have the appropriate personnel received required training within
specified period?
Has the change management process identified any updates on reference
documentation?
Are historical records regarding structural or technical changes maintained
by Technical department, for all vessels?
Have any changes, as per tables in Procedure, taken place?
For every change performed the following should be checked:
 Has the responsible person for the approval of a change informed the
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HSQE Manager

personnel affected by the change?
 Do they understand the extent and likely impact of any planned
change?
 Has the change been carried out within a specified timescale?
 If not, has it been reviewed and revalidated?
Communications
Check for registration on : Faxes / Letters to vessels / Circular Letters,
Memos
Check all incoming and outgoing messages for unique number and
registration.
Have all messages from vessels been allocated a unique number as required
by procedure?
Check for evidence of screening by individuals, on the computer, for each
message.
Check computer filing system according to time of transmission or receipt
and proper keeping.
Are all personnel aware of day to day communications between Office and
Fleet?
Check for annual evaluation of validity of Circular Letters and check if
revoked ones are stamped “superseded”.
Check if circular status list is dispatched to the vessels every 6 months
Check document delivery form for other mails sent to vessels
Check quarterly review of communication with Classification Societies and
quarterly class printouts and updating of Technical Manager.
Check Class Reports / Correspondence File.
Check Flag Correspondence
Check certain statutory obligations
Seek for evidence of on board communication
Recruitment & Placement
Check if Office is informed one month ahead of schedule for unscheduled
replacements. “Seafarers Availability List.
Check for requests of increase in manning in extraordinary circumstances (as
they are listed in Procedure) and Management approval
Check manning Agents’ agreements
Check for “Seafarers Application form” for newcomers
Check for evidence of interview & evaluation by manning Agent, including
Company’s requirements as per Procedure
Check for copies of certificates as required by procedure
Check for the following records:
 Licence
 Certificate of Service
 Seaman’s Book
 Certificate of Continued Proficiency
 Medical records
 Familiarisation records (for newcomers)
 Selection & Engagement Checklist
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HSQE Manager

 Employment Contract
 Check for message, sent by the Company to the Recruitment &
Placement Service Agent requesting seafarers
Check for following documents in the foreign crew files (sent by manning
Agent)
 Certificate of Medical Examination
 Employment Contract between Manning Agent & seafarer
 Certified copy of Licence / Certificate (where applicable)
 Information sheet on seafarer
Check for reference from previous employers
Check for evidence of interviewing on the Remarks section by the responsible
person
Check for evidence of interview by other departments
Check if seafarers have signed Company’s Policies as required
Check for Travel Arrangement Request Form
Check for evidence of Master’s checking of seafarers certificates prior
joining and if H.R Department has been informed in case that certificates
were not found as required.
Check for updating of Manning Agents on procedures and other
requirements.
Check evidence of assessment of Manning Agents (evaluations & audits)
Check for evidence of updating of Manning Agents with respect to
recruitment, performance and re-employment of seafarers
Check evidence of appraisal of seafarers
In case of promotion(s), check for requirements of procedure
Check for authenticity of crew licences and certificates
Check for evidence of seafarers’ welfare
Check for evidence of rest periods and compliance to ILO & STCW
requirements
Check for evidence of disciplinary process followed
Check for annual review of the selection and engagement process
Check for evidence of approval by the Top Management
Seafarers training, appraisal & familiarisation
Check that all seafarers employed are appraised at prescribed frequencies
and that the appraisal system is directly linked to future training
requirements and promotion process
Are all Deck and Engine Officers appraised by Master & C/Engineer every 6
months and on sign off?
Have any training needs been identified and noted at the “remarks” section?
Does the appraisal include, but not limited to:
 Safety and Environmental awareness
 Ability to perform duties
 Personal Effort and Willingness
 Leadership
 Promotion considerations
 Reliability
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HSQE Manager

 Training needs.
Are seafarers allowed to review appraisal reports and have their comments
been recorded on the actual form?
Is there a separate system in place for appraisal of Masters & C/Engs?
Do company superintendents assess Masters & C/Engs on their ability to
command and implement Company Management System?
Does the assessment include if meeting company’s objectives and targets?
Are forms “Master’s Evaluation by Superintendent Form” and “Ch.
Engineer’s Evaluation by Superintendent Form” in use?
Does Crew Manager screen the appraisals with the objective to evaluate the
seafarer’s performance and suitability for future employment?
Does the same process identify any training needs?
Have the necessary entries been made in seafarer’s personal record?
Have any cases of sub-standard performance of Senior Officers been
identified?
In cases that immediate training needs are identified, has the H.R
Coordinator informed the Superintendent in order to jointly decide upon
further action to be taken?
Have any training needs been identified through:
1. Safety Committee Meetings
2. Safety Drills
3. Industry monitoring
4. Analysis of Accidents, Hazardous Occurrences, Non-Conformance
reports
Have they been recorded and appropriate action being taken by Crew
Manager?
Does the Crew Manager monitor outstanding training needs and notify the
DPA accordingly?
Does then the HSQE issue the necessary training instructions?
Does then Master on board implement the necessary training?
Are the, deferred for a later date, training needs being recorded on the
seafarers’ records?
Has the Crew Manager ensured that they are satisfied prior to the re-
engagement of the seafarer?
Check for cases, when seafarer is considered for promotion, that all identified
training together with the training required for the rank, have being
satisfied, prior to the promotion taking place.
Check that Senior Officers’ thorough familiarization to SMS
Check if performed by delegated personnel from all relevant Departments
If carried out at the premises of Recruitment & Placement Service Agent, it
should be performed by Company representative, or by suitably qualified
staff
If none of the above ways was possible, then it has been carried out on board,
by signing off Officer or the Master or the Chief Engineer or by Company
representative. (2 days for Master & C/Engs and one day for the rest of the
Officers)
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HSQE Manager

Check if during this process an introduction to Company philosophy and
structure, and an outline of expectations and defined responsibilities has been
provided to the familiarized person.
The “Familiarization Checklist” completed, indicates all topics and items to
be explained to seafarer, according to his rank
Check for evidence of on board familiarization. Check that is rank specific
and that covers the following items:
 ship arrangements
 seafarers routine and emergency response duties
 equipment or installations that may be used by the seafarer
 company’s management system requirements according to rank
Are entries of familiarization been entered in Log Book?
Has the Master handed over his duties over a 2-day period, or after one cargo
operation?
Has the “Handing over” form being completed and Log book entries
performed? Check copy of same in Office.
Has the singing off Master familiarised the new Joiner with bridge and
navigation equipment and ensured that operational tactics and use of vessels
critical equipment and safety devices are clearly understood
Have ship’s stamp, library list with Bridge and other publications and last
Job Order form being handed over and appended together in form?
Has the same process being performed for Chief Engineer? Has he
demonstrated to the new-joiner the use of all Engine & Auxiliaries and their
particulars? Has he been ensured that Engine Department Critical
Equipment is well understood by the new-joiner?
Has, for Chief Officer’s handing over, one day (or one cargo operation) been
allocated and Company’s familiarization form completed?
Have the: filing system, logbooks, analysers & detectors been handed over?
Has the signing off member ensured that his substitute is fully familiarized
with cargo handling operations?
For the remaining new joining Officers, one day or one cargo operation. All
associated logs have been taken over and Officer familiarized with associated
company checklists.
Company has an active training program for seafarers which:
1. has specific initial and refresher training requirements per rank

2. is directly linked to the seafarers appraisal system
3. has a specific time frame and periodicity within which it must be
completed
4. exceeds the minimum requirements of the STCW code for the
respective ranks by defining additional training requirements per
rank
5. creates specific results , recorded per seafarer
6. includes combination of third party approved courses, courses
carried out at the Manning agents premises, on board training and
company organised seminars
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HSQE Manager

7. may be modified/enhanced depending on additional training needs
identified
The training program is divided into two main categories:
 training on board and
 training ashore
Check that the onboard training program is implemented (in accordance
with Company’s instructions & training needs identified) through:
1. Safety and pollution prevention drills and tests
2. Safety meetings
3. Field instructions
4. On board training sessions and presentations
Check that each ship has “On board training program” based on the
following:
1. Training subject / module
2. Training media
3. Trainer
4. Time period within which training is to be undertaken
Check “Training program report” monthly and updating of seafarer’s
personal training record. The personal recording of training is monitored by
Crew Manager in order to evaluate the effectiveness of the training system.
Check if “Seafarers Ashore Training program” includes initial and refresher
training for all ranks. The program is satisfied through Company or
Recruitment & Placement Service Agent organized seminars and third party
approved courses.
The “Program” specifies the type of training to be undertaken and time
frame within which training is to be completed.
Check updating of seafarer’s personal record
REMARKS:
Shore based personnel recruitment, training & appraisal
Check that all Company staff recruitment is coordinated by H.R.
Coordinator under authority / approval by Top Management
A written job description should be available and if not it should be discussed
and agreed by H.R. Coordinator. It should contain areas of responsibility
that the jobholder will be expected to cover, including qualifications and
other position requirements
In case of an internal change of position of an existing employee a
new/updated job description must be submitted defining tasks and areas of
responsibilities of his/her new position
The recruitment procedure is divided into three major areas:
· finding applicants
· assessing applicants
· post-offer administration
Check for evidence of H.R. Coordinator screening of applications and
forwarding of “Candidates” folder to Department Manager for checking.
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HSQE Manager

Check that the above folder includes information such as date/time of
interviews on the CV and interview forms completed for interviewed
employees
The arranged interview timetable will be circulated back to the Department
concerned
Check process of interview of applicants. Check for comments entered in
“Interview Form”. Check short listing of applicants meeting Company’s
requirements.
The authority to employ shore staff lies with the Management, based on the
Department’s recommendations
Check for final interview (if required) for the selection of the person.
Check completion of “Staff Information Form” and “Declaration of Family
Status form”
Check thorough checking of original personnel records and scanned copies
Check that it is verified that applicants have the appropriate qualifications
and experience. Check for indication of relevant applicant’s skills for the
position.
Check for verification that qualifications are genuine by H.R. Coordinator
(via checking with issuing authorities and former employers to verify
experience – if referred to)
Check for compliance with induction plan
Check for details of training and familiarization process prior to the
acceptance / undertaking of responsibilities & accountabilities.
Check if plan covers all Policies including formal induction process and
completion within specified time frame, by specific personnel.
H.R. Coordinator records and follows the training identified
The H.R. Coordinator is responsible to maintain up-to-date records of
qualifications experience and training course attended for all shore-based
staff
Check that all Company staff training covers the areas of:
· External courses
· In-house training by staff (i.e. I.T. workshops etc.)
· In-house training by consultants - (Industrial presentations, Q.A.seminars,
new regulations etc.)
The actual method used for training depends on the staff being trained, and
the subject chosen
All the above training is coordinated by H.R. Coordinator .
Check that the company has an active training program through detailed
induction of newly employed staff, refresher training and participations in
industry forums, seminars and conferences
Check how training needs are identified. They should result from:
a) Staff Appraisal Forms (check for appraisals including training needs)
b) Manager’s or Employee’s direct request. (In case it is by employee,
check for approval by H.R. Coordinator )
c) New employee’s induction and familiarization process
Check completion and updates of “Outstanding Training Needs” form, kept
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HSQE Manager

by H.R. Coordinator
Check for completion of “Training Course Approval and Attendance”
forms”, as well as H.R. Coordinator approval
Check that H.R. Coordinator has carried out all the necessary arrangements
to organise the course, if not already made by the attending employee.
Check for verification of attendance by:
 a written confirmation from the attendee that he/she actually
attended or,
 by a summary review to his/her manager or,
 by the attendance certificate - if available
Check for verification records kept by the H.R. Coordinator for the in-house
training courses and attendance of staff.
Check that in case that an Attendance Certificate is given, a copy of it is kept
with the Training Approval and Attendance Form in the Shore Based
Training File.
Check also that employee’s personal file is updated
Check that all key staff are given a formal appraisal at least once per year
(excluding the Management)
Check that for key staff working abroad on special projects, short notes are
exchanged electronically between the appraisee and the appraiser until a
final appraisal form is completed.
Check for evidence that staff performance is evaluated based on:
a) Doing their job described in their Job Description effectively and
accurately
b) Their personal qualities shown
Check that the H.R. Coordinator has issued an explanatory memo
announcing the beginning of the appraisal period and explanation of the
appraisal process
Check for appraisal meeting arranged by appraiser, with appraisee, within
the agreed period
Check for evidence that the items included in the Appraisal form have been
discussed and evaluated between them.
Check that the process includes review of staff abilities and identifies any
development requirements, including additional training needs.
All forms have been returned to the H.R. Coordinator to process the
training needs specified and filed them accordingly in personal personnel
folder.
Check that Staff Appraisal Forms are kept in individuals’ personal file
Office Risk Assessment

Check that the Risk Assessment Process includes health and hygiene and
shall be utilised for reviewing , amending and improving company
procedures ,processes and practices so that the risk involved in company
operations is at “AS LOW AS REASONABLY PRACTICABLE” (ALARP)
level
Issue: 1
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HSQE Manager

Check for a Risk Assessment Database, providing the details of Risk
Assessment sessions together with the follow up action.
Check that the assessments and follow up meetings are reviewed by an
appropriate Company representative and kept in file
Check for evidence of forwarding the (updated at least every 6-months)
database on board vessels by the DPA
Check that the Company management system has an active risk-assessment
program requiring risk assessment to be performed as follows:
1. Hazards associated with non-routine
repairs (following equipment breakdown
superintendent
or arising from the potential for
breakdown) are identified
2. Potentially hazardous operations are
superintendent
scheduled to take place
3. New or non-routine tasks/operations that
superintendent
may be carried out in the future
4. Changes such as installation of new
equipment or components, use of a
different material, or simply a new
instrument setting (outside normal superintendent
operating limits) on equipment are to take
place on board a managed vessel as per
procedure “Management of change”
5. Temporary and permanent changes to
superintendent or HSQE
procedures or equipment on board
Coordinator
managed vessel are to take place
6. A new vessel is acquired to the fleet. HSQE Coordinator
7. Organisational changes (changes in
reporting relationships, elimination of
HSQE Coordinator
positions, restructuring, etc.) are to take
place
8. A change affecting the operational risk of
superintendent or HSQE
vessel(s) as per procedure “Management
Coordinator
of change” is to take place
Check that the methodology used, follows the flowchart described in
procedure
Verify that the method utilized by the company for risk assessment is a
combination of the SWIFT method and the use of risk matrices
Check that the SWIFT process is used to identify all potential hazards
associated with the case under investigation
Check that, eventually, the hazards are ranked in order of significance or to
evaluate the need for risk reduction of each hazard.
Check for assigning of frequency
Check assigning of consequences
Check for assigning of risk
Check if hazards have been brought within ALARP
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HSQE Manager

Check SAFETY RELATED RISK MATRIX and use
Check POLLUTION RELATED RISK MATRIX and use
Check follow up action and records kept by DPA.
Check for Risk Assessment forms
Check for evidence of DPA’s review on Risk Assessment records and any
hazards identified have been logged in the Risk Assessment form
Check for prompt mitigation for hazards identified with risk ranking A or B
Check for achievable targets set for closing out any Risk Control Actions
Check that responsible person(s) have notified the DPA upon completion
Vessel Risk Assessment
Check that any ship operation / activity involving risk at a level above
ALARP is to be immediately addressed as follows:
a) RA Form has been completed for documenting the agreed control actions
prior to the operation / activity taking place
b) If the operation / activity is already under progress, the control measures
are implemented asap and Office has been immediately notified
c) If the resources available and / or circumstances are such that the risk
cannot be lowered to an acceptable level (ALARP) the Office has been
immediately notified and further advice has been provided
All risk assessments undertaken on board are filed and forwarded to Office
Check for Risk Assessment(s) performed on board for the following:
1. Hazards associated with non-routine repairs (following
C/O, C/E
equipment breakdown or arising from the potential for
& Master
breakdown) are identified
2. Temporary and permanent changes to procedures or
C/O, C/E
equipment are to be implemented on board (see
& Master
Management of Change Procedure)
3. Unsafe acts and conditions are identified on board. Such
acts and conditions may be related to both routine and
non routine operations / activities, such as:
 hot work outside safe designated areas
 entering enclosed spaces
 lowering of life boats into the water
 working aloft, aside or in restricted spaces C/O, C/E
 Bunkering from another vessel & Master
 Spread loading
 Over the tide cargo operations
Any other operation / activity that the Master or other
senior officer consider as hazardous or dangerous for the
safety of the crew, the vessel, the environment or property
in general
4. Routine planned maintenance of critical equipment
(copied to the office for approval prior to shutting down
of the equipment) is to take place. Assessment to include: C/O, C/E
& Master
 personnel, spares & tools
 worst case scenarios
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HSQE Manager

 recovery and mitigation measures
 commissioning and testing procedures
 alternate back-up equipment/systems
 necessary modification in operational procedures as a
result
 additional safety procedures (emergency)
5. A ship is added to the fleet. The initial Risk Assessment is
to ensure that all anticipated mooring arrangements and
C/O, C/E
equipment ensure the safety of shipboard personnel. Any
& Master
changes to mooring arrangements and equipment shall
necessitate a new Risk Assessment
6. When passing Gibraltar, Suez Canal, English Channel, C/O, C/E
Bosporus, Panama Canal, Singapore Strait. & Master
7. SBM mooring, prior heavy weather, restricted visibility, C/O, C/E
navigation in narrow waters & Master
8. When the long term health of a person on board may be
at risk because of :
 Exposure to harmful levels of ambient factors and
chemicals C/O, C/E
 Exposure to asbestos-related risks & Master
 Exposure to hazardous levels of noise and vibration
 Diseases that may arise from the use of equipment
and machinery
Check that the methodology used, followed the flowchart
Check if any unsafe practices have been given Particular attention (due to
lack of experience, lack of training, lack of time, lack of resources, crew
fatigue, new operation / activity / equipment / procedure)
Check if any unsafe conditions were present (such as extreme weather
conditions, explosive atmosphere, lack of maintenance, breakdown of
equipment etc)
For any hazards identified, the related level of risk is to be evaluated by
assigning the corresponding Frequency and Consequences by completing in
RA form the box “Summary of Hazards Identified & Associated Risk Before
Additional Control Measures”
Check for completion in RA form the “Description of Additional Control
Measures”, as required by par 3.1.1, in order to lower the Risk within
ALARP
Consequently the “Summary of Hazards Identified & Associated Risk After
Additional Control Measures” of RA form is also completed.
Check for assigning of frequency, of consequences, of risk and according to
related Matrices.
Check that completed RA forms sent to Office.
Check if identified hazards with risk ranking A have been mitigated asap as
required and the DPA notified. What about hazards with risk ranking B?
Check the responsible shipboard personnel have implemented and verified
the required action(s).
Issue: 1
Approved by:
HSQE Manager

Maintenance & Vessel Inspection
Are the Technical department’s personnel familiar with the planning and
supervision of vessels’ maintenance system?
Check that planned maintenance for both Deck and Engine is carried out
according to the following factors:
- Running hours
- Builder/maker's recommendations
- Actual condition/criticality of equipment, machinery and steelwork as
derived from:
 monitored performance
 monitored condition
- Past experience (both ship and shore staff)
- Class and Flag State requirements
- Common marine and engineering practice
Check that the Superintendent ensures that vessels are maintained to the
provision of the rules and regulations of the Classification Society and the
Flag Administration of the ship.
How are the Class quarterly list (CMS items) handled?
Check for monitoring of due dates of all Classification Surveys and
conditions of Class and in cooperation with the Technical Manager ensured
that they are timely satisfied.
Check for computer based back up system in order to monitor the expiry
dates.
Check for copies of endorsed certificates after the completion of inspection
and office notification regarding items passed, or any recommendations.
Marne Operations Department  responsible to arrange for:
 Annual Safety Inspections to be conducted on time in accordance with
the Maritime regulations.
 Logging of actions or measures taken to rectify Deficiencies and Non-
Conformities noted during surveys and annual safety inspections and the
giving of notification to the administration and the designated RO of the
corrective action.
Check how maintenance program is formulated as required by procedure
Check if engine department maintenance program and activities are a
combination of the following:
 Classification and Flag Administration requirements
 Standing Planned Maintenance Activities
 Condition of machinery
 List of work to be carried out issued in the form of Maintenance
Instructions or Job Order lists left by attending Superintendent
Check for detailed PMS
Check for Deck Department Hull Condition & Maintenance report
Check for Vessel’s Condition & Maintenance Report
Check for evidence of maintenance of L/S & F/F appliances as per SOLAS
Check for evidence of Chief Officer’s safety rounds to ensure that ship safety
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HSQE Manager

arrangements are in order
Check if any significant safety deficiency that cannot be rectified by ship’s
staff, has been reported.
Check for the following records being reported to the Office, as per Table 1:
Code Title Frequency used
Engine log abstract Every month
PMS Continuously
Overhauling report Every overhaul
Lubricating oil report Every month
Monthly work report Every month
Quarterly main engine performance report Every 3 months
Quarterly aux. Engines performance report Every 3 months
Megger report Every 3 months
Quarterly aux. Engines crankshaft deflection Every 3 months
Six monthly main engine crankshaft deflection Every 6 months
Main engine bearing clearances report Every 6 months
Report on main engine holding down bolts & tie Every 6 months
rods
Main engine piston and liner calibration report Every overhaul
D/generator general overhauling report Every overhaul
Tailshaft & stern tube monitoring report Every month
Hull condition & maintenance report Every 6 months
Vessel’s condition & maintenance report Every 3 months
Monthly painting report Every month
Maintenance of major electronic equipment Every 3 months
Isps electronic equipment maintenance & test log Annually
Monthly safety inspection by safety officer Monthly
Check for evidence of review by Technical Manager or relevant

Superintendent Engineer and if appropriate issuance of necessary
instructions
Check for vessel visits at least twice per year
Check if they sail on the vessel
Check that during the inspections, the following:
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HSQE Manager

- the condition of the vessel is evaluated and recorded
- maintenance activities, as described in the planned maintenance system,
are audited and verified against records sighted and actual condition.
- the progress of activities related to reported defects is checked and
audited against records and actual / physical condition of the vessel
- any additional maintenance requirements are identified and appropriate
instructions issued to the vessel (these instructions form integral part of
the vessels maintenance program)
- the completion of corrective actions for any deficiencies in the “Attention
File” system for follow up of outstandings is verified.
For all such inspections, an attendance report shall be completed
The attendance report shall be reviewed (according to case) superintendent
or DPA.
Check for system of recording and follow-up of Job-orders issued
Check for evidence of Safety Meeting held between superintendent and
Officers and Crew on board. (see procedure “Health, Safety Management
and Environmental Protection”)
Check for Hull & Tank Inspections by superintendent
Check for photographic evidence in these reports, and geographic layout of
each compartment as per IACS “Guidance Manual for Tanker Structures”
Check for 6-months Cargo & Ballast lines testing and during DD
Check reporting of defects and deficiencies & Defect form
Check for review of defect by Superintendent
Check which Departments monitor the recorder deficiencies by third parties
and Deficiencies Status Log for their status
Check for defects of critical equipment, or significant safety deficiencies that
cannot be rectified by ship’s staff. How they are assessed?
Check if in any case the operation was suspended until safety issues are
resolved
Check for evidence of review according to criticality, instructions to vessels
and notification to other vessels in order to prevent repetition
Check for evidence of overall monitor by Superintendent and their review
under company’s quarterly review process. Has their analysis being brought
to the attention of management?
Check for identification of critical equipment through hazard identification
& risk assessment and specific measures taken
The measures are integrated into company’s planned maintenance system
Check for ship specific list of critical equipment and measures taken
Check for any additional critical equipment or systems (with identified risk
outside of the ALARP limits). How the further maintenance or operational
checks are established and recorder in maintenance records?
For mooring equipment, check maintenance instructions, execution, levels of
spares, rendering values tests/equipment used
Check instructions for safe operation
Dry-Docks & Repairs

Issue: 1
Approved by:
HSQE Manager

Check the dry-docks / Repairs file
Check that 4 months prior to the Dry-Docking for necessary preparation
arrangements
Check for Specification list prepared by the Superintendent Engineer and
approved by the Management, considering the following:
 Previous Superintendent reports.
 Defect/damage reports.
 Master & C/E reports.
 Class requirements (existing and new regulations)
 Oil majors reports/requirements
Check for quotations from various shipyards/repairers
Check for comparison list, and selection of shipyard
Has the specification check list been sent to the vessel
Check for records ensuring soundings of tanks and stability, trim
requirements of DD
Check progress of works and their execution
Check for safety and pollution prevention requirements and execution during
repairs.
Check if the final work lists / invoices have been approved and signed by the
Superintendent Engineer
Check for Evaluation of repairers performance by Superintendent
Equipment Calibration & Testing
Check for service /checking and recording of Navigational equipment
Check for evidence of portable and fixed devices that need calibration
Navigation
Check status of NTMs and Nautical Publications sent onboard by
Superintendent
Check for evidence of charts corrections on board & passage planning
Check for evidence of updated publications sent on board
Check for evidence of navigation processes
Check Navigational Audits (by Shore & by Master), frequency, notification,
person, results, progress, improvements
Cargo Operations
Check for instructions given by the Superintendent
Check for the following documents:
 Notice of readiness
 Statements of facts
 Draft survey results (if carried out)
 Letter of Protest
 Letter of sea protest
 Cargo manifest
 Bills of Lading
 Pre-loading / discharging plan
 Loading / discharging performance plan
 Preloading survey results
Issue: 1
Approved by:
HSQE Manager

 Other cargo certificates according to the case
 OBQ / ROB Report
 Ullage report
 Pumping record
 Slop Certificate
 Time sheet Loading / Discharging
 Cargo Heating Log
Check for loading calculations performed by the Operations department
Check for any On-Hire / Off Hire Survey report
Check for additional information required, as per Company’s Instruction
Manuals
Vessel Performance & Monitoring
Check if the following reports are transmitted by the vessels as required:
 Noon message : Every day at noon
 Arrival message : After vessel arrival at port
 Departure message: After vessel departure
 Statement of facts: After vessel departure
 Noon message at anchorage: Daily at noon
 Six hourly report: every 6 hours while discharging
Ensure that the reporting format follows the Procedure. Check if there are
any revisions affecting the reporting format
Check if the Superintendent receive the respective telexes
Check for evidence of monitoring and for any instructions given to vessels
Check for “Vessel’s Monthly Objectives / Targets Performance Report”
received in Office.
Check for Master’s additional measures and actions in order to improve
performance and avoid any significant deviations, when necessary
Check for monitoring from DPA and presentation during Company’s
Management Review cycle
Purchasing
Check the following kinds of supplies:
1. Ship equipment and spare parts
2. Ship lubricants
3. Major Technical services
4. Ship supplies, stores, provisions
5. Supply of gases and chemicals
6. Supply of paints
7. Bunkers (in the case of voyage charter)
Are the requisition lists (for supplies) forwarded to the Office on the required
forms including reference numbers?
Are they screened by the Senior Purchasing Officer?
Does the Senior Purchasing Officer compile a comparison list on the
quotations received?
Is final approval provided by the Superintendent
Are Master and Protecting Agent informed for the order placed
Check if verification on board is ensured by delivery receipts been signed and
Issue: 1
Approved by:
HSQE Manager

stamped by the Master
Does the Master inform the Office, prior departure, for the items received
Check the process for Ship equipment and spare parts
Check for comparison list carried out by the Senior Purchasing Officer
Check for use of computerized system and updates
Check for final approval by the Superintendent
Check if Agent is notified
Check if the verification on board is carried out against the copy of the
packing list sent to the vessel
Check for monitoring of lubricants R.O.B. quantities by Senior Purchasing
Officer and Superintendent Engineers through Noon Reports
Check for quantities ordered, Technical Manager’s approval, placing order
and informing Master, ensuring order is delivered, evidence of delivery
receipts and invoices
Check also if approval for the requisition of Gases/Paints/Chemicals are
checked and approved by the Marine/ Operations / Technical Managers
(according to the case)
Check for cases regarding major technical services
Are Master and Protecting Agent informed accordingly
Check for evidence of verification on board
Check if requisition for Technical services is reviewed (signed) by the
Superintendent
Similarly check for supplies, stores, provisions
Check for Chief Operating Officer’s final approval on the quotations
received regarding Bunkers requisition
Check for process followed by Chief Operating Officer
Are the Master and Protecting Agent informed in all cases?
Check for verification by the Master in all cases
Check that the selection and evaluation of suppliers according to:
 ability to meet sub contracted specifications and requirements
 quality of service
 cost considerations
Check if the List of Suppliers is updated with all suppliers used, by the
relevant Senior Purchasing Officer
Check for evaluation levels established by the Company
Check if the List of Suppliers contains evaluation remarks (always updated),
based on the criteria set by Company.
Safety & Environmental Protection
Check if the environmental impact of shipboard operations has been
identified, and the necessary control and evaluation methods have been
adopted in order to minimize their environmental impact
Check for monitoring of emerging legislation that may affect the
environmental Management System
Check also for monitoring local National Requirements by the Operator ,
ensuring that the ship complies with them and notification of DPA
Check if responsible departments with respect to the different nature of rules
Issue: 1
Approved by:
HSQE Manager

& regulations requirements that apply to the vessels have performed the
necessary actions.
Check if the Office and Vessel libraries have been updated with reference
publication, on the above
Check for evidence that safety and pollution prevention requirements have
been communicated to Officers and Crew (Master & C/Engineer responsible
to ensure)
Check if copies of the Safety Committee Meetings Minutes are sent by the
vessels every month (at least)
Do they contain the required agenda items?
Are they reviewed/signed by the DPA
Check for meetings performed during office representatives visits on board
and forwarding to the DPA
Check for quarterly meetings of Company’s Management in order to review
the Management System, ensuring suitability and effectiveness of Company's
Health, Safety Management & Environmental Protection Policy & Procedure
Check for additional Safety Meetings and Safety Seminars in the office, by
the DPA
Check for drills on board in excess of the minimum requirements
Check if the “Safety Drills/Tests” records are forwarded to the Office on a
monthly basis
Check if Ship/Shore exercise has been carried out (it must be reported in the
Safety drill/tests records )
Check for relevant matrix demonstrating the various exercise scenarios,
covering them over a period of two years
Check that the frequency and number of exercises depend on the number of
vessels and the trading patterns.
Check for DPA’s analysis in order to identify any lessons learnt
Check emergency Plans (SOPEP, VRP, ERP) exercises and reviews
Check for adoption of safe working practices and instructions
Also the seafarer’s safety training and familiarization
Check for evidence regarding health on board, including recreation, hygiene,
air conditioning, access to shore medical facilities, e.t.c.
Check for environmental aspects of shipboard operations and Environmental
Aspects Matrix
Check for evidence of review and re-evaluation during review meetings,
resulting from an accident, technological advance or a change in legislation,
which may affect the companies’ operations and practices
Check for the method used in order to:
 defining the Environmental Impacts resulting from shipboard
operations;
 setting the Control Measures for the various Environmental Impacts;
 setting the Evaluation Mechanisms for the various Environmental
Impacts;
 reporting and collecting required data;
 Analysis and Review of Environmental Performance Data,
Issue: 1
Approved by:
HSQE Manager

is reflecting the Company’s workflow
Check that the method followed is directed towards continuous improvement
as well as improving environmental performance
Check for identified Critical Machinery Space Operations and appropriate
evidence, Cargo & Ballast operations and Garbage Disposal. Any
instructions / circulars concerning the above?
Check for control of smoke emissions, sewage, or other environmental
Protection Measures
Check their relation to the Environmental Aspects Matrix
Check method of safety information sharing and safety bulletins
Accident and Hazardous Occurrences reporting & analysis
Check for evidence of accidents & hazardous occurrences (near misses)
Check for cases of Personal Accident and appropriate reporting
Similarly for release of oil or harmful substances and other accidents.
Check for follow up of accidents & hazardous occurrences(near misses)
Check for involvement of DPA
Check for necessary assistance, in depth investigation, determining root
cause, breach of company and legislative requirements, proposed time scale,
all issues resolved, preventive actions, issuance of appropriate instructions,
periodic evaluation and annual statistics showing company’s performance.
Check for collective analysis of all accidents and near misses carried out
through the Management Review Cycle
Drugs & Alcohol
Check how the Company checks the levels of intoxication and disciplinary
action (if applicable)
Similarly for possession of illicit drugs
Check for pre-joining tests of seafarers
Check for unannounced tests and use of breathalyser, as instructed by
Superintendent .
Check if performed every 6 months for at least one third of seafarers on
board each time
Check if the above process follows the requirements of procedure
Check for other unannounced tests performed on board all vessels at least
twice per year
Check for evidence of alcohol distribution on board
Check for cases of disciplinary action taken
Filing System
Check for Filing System of each department
Check for awareness of filing system procedure
Non Conformance Control
Check N/C raised: Office – Vessels
By whom
Check if N/C signed by responsible person
Check if any case of N/C not signed
Check for N/C’s raised by vessels
Check if vessel’s N/C has been signed by Master / or responsible person.
Issue: 1
Approved by:
HSQE Manager

Check if all Dept. Managers aware of all N/Cs
Has the DPA being notified for all N/C’s?
Corrective and Preventive Action
Check analysis of N/C to identify root cause
Check for corrective action steps
Check for preventive action steps
Check notification of other Departments / Parties in order to prevent re-
occurrence
Verification of action taken
Are close N/C forms signed by DPA?
Are all N/C’s completed within a maximum period of three months?
Has a summary being provided to Senior Management on a quarterly basis?
Check for further preventive action initiated as deemed necessary
Check for trends identified from N/C’s and lessons learnt
Management Analysis and Review
Check for evidence of continuous evaluation and review process consisting of
the following:
1. The setting of the company’s objectives and measurable targets,
including the quarterly monitoring and evaluation process and the
annual review process of targets set (i.e. targets are set annually and
monitored/evaluated quarterly through the management review
meetings and collectively annually)
2. The Customer Survey Reports and their annual collective evaluation
(as described here below)
3. The CMS analysis reports
4. The Management Review Meetings ashore and on board.
Check Company Objectives & Performance Record and steps followed
Check official setting once per year
Check “Departmental Performance Record/Report” every three months
Check involvement of DPA
Check for collective analysis performed during the annual Management
Review process
Check use of Customer Survey Reports
Check if DPA has conducted such surveys
Check for presentation of customer survey reports by DPA during annual
Management review meetings
Check for Quarterly analysis report by DPA
Check sources of data gathering
Check contents
Check for further analysis requested by Management
Check for major amendments to Management System
Check for meetings of the MRT, quarterly with a more comprehensive
annual meeting, organized by DPA
Check for any unscheduled review meeting and approval
Check for organization of any such Meeting and preparation of agenda
including the factors leading to the necessity of the meeting
Issue: 1
Approved by:
HSQE Manager

Check the members of the Management Review Team
Check if all the agenda topics have been discussed, as required by procedure
Check for distribution of the meeting minutes to all participants
Check that original copy of meeting minutes includes distribution list and
kept together with agenda by DPA
Check for each Master’s Review once per year or on sign off. Check use of
appropriate form
Internal Audit
Check for auditors who are independent of the person responsible for the
area to be audited and have received appropriate training
There are records to demonstrate the number of audits performed by
individuals
Check for once per year Head Office audits and twice per year on board each
vessel
Check for Internal Audit Schedule
Check for min Audit frequencies
Check for any unscheduled audit (also due to any serious deficiency
becoming apparent)
Check for: assignment of auditor
Check for Notification of internal audit to the audittee, about the date and
scope of the audit(for scheduled audits)
Check for audit checklist prepared by auditor after reviewing all documents
related to the area to be audited (i.e. policies, procedures, instructions, plans,
previous audit findings, outstanding non-conformances).
Check for evidence of meeting with audittees discussing purpose and scope of
the audit, process to be followed, review of audit program
Check if any additional items or issues that have become apparent during the
course of the audit, as well as evidence of records reviewed
Check for:
1. audit summary report,
2. results of audit,
3. non-conformity forms completed for every non-conformance found,
4. closing meeting,
5. auditees acknowledgement on the audit findings by signing non-
conformances
Check if the report has been forwarded to the DPA within 3 days from the
audit date for office audits and 7 days for vessel audits
If the above performance standard has not been met, check for notification of
Management during the Management Review cycle of the company and
intervene to improve performance where necessary
Check for registering of the audit results on the Company’s computerised
monitoring system by HSQE Coordinator as monitoring the progress of the
company’s audit plan
Check if significant slippage has occurred between planned and actually
performed audits
Check if additional Internal Audits on board vessels have been performed in
Issue: 1
Approved by:
HSQE Manager

cases where significant proof that Company’s SMS is not satisfactory (in
cases of Marine accident, PSC inspection; e.t.c.)
Date Auditor Dept/QP audited
GENERAL REMARKS:
SUGGESTIONS / IDENTIFIED TRENDS:
LESSONS LEARNT:

SMGF-S - CMS-08 Oficce Audit Checklist

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SUPPORT MARINE GROUP SMGF-S-CMS-08

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1. has specific initial and refresher training requirements per rank

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Office Risk Assessment

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Check for evidence of review by Technical Manager or relevant

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Dry-Docks & Repairs

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Date Auditor Dept/QP audited

SUGGESTIONS / IDENTIFIED TRENDS:

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