HLB ISM SMM rev2

Hermann Lohmann Schiffsverwaltungs GmbH

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Chapter 9 Documentation

9.1 General

All documents on board and ashore are controlled and updated when needed. Updates and changes will only be carried out by authorized persons.

9.1.1 Authorisation of change of documents

All changes to documents which are controlled will be performed by the authorised persons only. This person is the Master of the vessel and the DPA ashore. ISM related documents should only be changed after the permission of the DPA.

9.1.2 Validity of documents

All documents that are included in the SMS will be identified valid by means of reference in the list of valid documents. This list describing all relevant documentation will be held on board of each vessel.

9.1.3 Revision status of documents

Documents that are changed will be identified by a consecutive revision status. The Revision History shall additionally contain the date of implementation.

9.1.4 Removal of documents

When changes of documents have to be done and carried out, the authorised person will ensure that all non valid documentation is promptly removed. This applies to all documentation that is been replaced.

9.1.5 Providing of Procedures

New procedures are provided by the Master or the DPA in accordance with chapter 9.3 of this Manual.

9.1.6 Control

The DPA has to ensure that changes to the documentation are done regularly.

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9.2.1 Filing System

		Publications			Responsibilities
					(for filing / correction /			Location
		(Documents/Certificates/Manuals)
					update / care)
01	Safety Management Manual including				Master			Office, Bridge
	Forms, Checklists & Procedures
02	Emergency Response Plan				Master			Office, Mess Room
03	SOPEP Manual				Master			Office
04	Training Manual				Officer			Office, Mess Room
05	Cargo Securing Manual				Master			Office
06	Company Instructions Deck				Master			Office
07	Company Instructions Engine				Chief Engineer			Office
08	Company Circulars				Master			Office
09	Flag State Circulars				Chief Officer			Office
10	Charter Circulars				Chief Officer			Bridge
11	Crewing Circulars				Chief Officer			Office
12	Ship Certificates (Classification and Flag				Master			Office
	State)
13	Ship Documents				Master			Office
14	Cargo Gear Certificates				Chief Officer			Office
15	Cargo Documents				Chief Officer			Office
16	Port Documents				Chief Officer			Office
17	Chart Administration				Chief Officer			Bridge
18	Correspondence				Master / Chief Officer			Bridge
19	Radio Traffic / Radio Account				Master / Chief Officer			Captain’s Cabin
20	Handing Over Reports				Master			Captain’s Cabin
21	ISM and ISPS Reports				Master / ChOff / ChEng			Office
22	Other Company Reports				Master / ChOff / ChEng			Office
23	Oil Sample Reports				Chief Engineer			ECR
24	Bunker Certificates				Chief Engineer			ECR
25	Disposal Certificates (sludge, lub oil				Chief Engineer			ECR
	etc)
26	IMDG-Code				Chief Officer			Office
27	MARPOL				Chief Officer			Office
28	MFAG/IMDG-Code				Chief Officer			Office
29	International Code of Signals				Chief Officer			Office
30	International Medical Guide				Chief Officer			Office
31	Bridge Procedure Guide				Chief Officer			Office
32	Code of Safe Working Practices				Chief Officer			Office
33	Nautical Publications				Chief Officer			Bridge/Office
34	All other Nautical Publications				Chief Officer			Bridge/Office
35	Technical Publications				Chief Engineer			ECR

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Chapter 10 Company Verification, Review and Evaluation

10.1Internal Audits

10.1.1Scope

Defining the controls and activities required to ensure that:

-Internal Audits of Departments and ships involved in the SMS are carried out at intervals not exceeding twelve months; exceptionally, this interval may be exceeded by not more than three months;

-Results of the Audit are properly reported

-Follow-up on Non-Conformities is taken within the time stipulated;

with the objective to control activities related to Quality, Safety and Pollution prevention and to improve activities.

10.1.2Process

10.1.2.1Planning and Preparing the Audit

Each year the Managing Director and DPA shall prepare an Audit Plan covering all activities.

No later than two weeks before the scheduled Audit the Designated Person shall:

-inform the Auditor of the date and schedule for the Audit

-forward Audit Programme and schedule to the selected vessel or Department

10.1.2.2 Performing the Audit

The Auditor will prepare a schedule for the Audit.

The Audit will include but is not limited to:

-an opening meeting with at least the persons involved in the Audit

-interviews with persons from all levels in the Department / ship

-document and file review for verification

-a general tour through the Department / ship for verification

During the Audit Non-Conformities shall be identified and documented in terms of the specific requirements of the Company’s Safety and Quality Management System or other relevant documents against which the Audit has been conducted.

The Auditor shall present the Non-Conformities, if any, to the Director and Master in such a way that no misunderstandings or disagreements can occur at a later stage.

Each Non-Conformity shall be signed by the Head of Department ashore or the Master aboard. Corrective action and time-frame for the implementation of corrective actions to be agreed upon.

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10.1.2.3 Reporting

The Audit Report shall be submitted to the DPA and/or the Managing Director of The Company for information and/or further action in time.

10.1.2.4 Follow Up of Audits / Closing of Non-Conformities

The Head of a Department or the Master shall ensure that all Non-Conformities are noted promptly and appropriately.

When receiving copies of the completed Non-Conformity Notes the DPA shall review the action taken by the Auditee and close the Non-Conformity if action taken is to his satisfaction.

If the required action is beyond the field of the Auditee the Managing Director shall decide on that suitable resources are provided to solve the Non-Conformity.

The designated person shall keep a log of Non-Conformities in the head office.

The implementation of corrective actions on board the ships will be controlled during the regular inspections. The efficiency of Corrective Actions will be controlled and proved in the daily operation.

Where the Follow Up verifies that satisfactory Corrective action has not been implemented the DPA shall issue a new Non-Conformity detailing the evidence of the unresolved NonConformity and to report this to the Managing Director.

The Audit and Non Conformity Reports are used as a part of the Management/Master Review.

10.2Management Review

10.2.1Scope

During the controls and activities it is to ensure that:

-Management Reviews are conducted at least annually

-Management Reviews are covering relevant aspects of the SMS and Quality System

-Results of the Review are covering the basic aspects of improvement

-Recommendations and decisions are followed up

-Relevant information is reported to involved employees

-The efficiency of the Management System is suitable

-Overview and analysis of Non-Conformities and internal Audit Results

10.2.2Process

10.2.2.1Schedule for Management Reviews

At least once a year, the Management will carry out a Management Review Meeting to discuss the effectiveness, maintenance and correct implementation of the Safety System. The date of such meeting fortunately is in month December.

10.2.2.2 Planning and Preparing the Review

The Management Review is chaired by the Managing Director, DPA and all other persons appointed by the DPA.

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Before the Review meeting commences the DPA shall:

-inform the persons he would like to attend the Management Review Meeting

-prepare overviews and analyses of the last year

-prepare a plan of action for the next year

10.2.2.3 Contents of the Management Review and Agenda

An agenda is drawn up in advance, covering at least the following subjects:

-overview and analysis of internal audit results

-overview and analysis of complaints from clients

-review of suppliers and subcontractors

-efficiency of the Quality and Safety System

-review and analysis of the operational process

-corrective action following noted Non-Conformities

-new quality objectives

-new safety objectives

-adequacy of preventive measures taken

-complains

10.2.2.4 Finishing Action

The Meeting Report has a fixed layout, and can also operate as a plan of action, i.e. for each subject a note will be made of what actions are to be taken and by whom. The date limiting the time of implementation shall be included.

The DPA monitors the implementation of the plan and action.

The DPA keeps the original report, and retains it for at least five 05 years.

10.3Master’s Review

10.3.1Scope

Defining the controls and activities required to ensure that:

-Master’s Review will be conducted annually before the month of December;

-The SMS is reviewed with respect to efficiency and effectivity;

-To consider the needs for improvement;

-Training in respect of the understanding, needs knowledge of the SMS;

-To give practical input to the Management Review;

-Deficiencies in the system are reported to the shore based Management;

in order to improve the SMS to a practical and operable system.

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10.3.2Process

10.3.2.1Planning

It is the responsibility of the Master to assign review activities of the SMS to Officers and/or crew members. The results of the review activities will be discussed in a meeting with the SMT to be held at least annually before the month of December.

10.3.2.2 Subjects

Review activities will include at least the following subjects related to the SMS:

-The total efficiency of the SMS

-NCS

-Port State Controls

-Reporting processes and formats

-Result of drills

-Status of training programmes for all crew members and will be carried out by the most knowledgeable persons.

10.3.2.3 Master’s Review Meeting

In a meeting consisting of at least the SMT the results of the above mentioned subjects together with:

-Non-Conformity Reports of the internal and 3rd party audits;

-Analysis of incident reports (including accidents, near misses, etc.)

-Internal and external surveys and inspections;

-Recommendations/conditions of class and memos, following class and statutory surveys

-The timely closure of all Non-Conformity Reports and control of improvement actions

-Any other subject related to Safety and Pollution Prevention brought in by the participant

will be analysed on status and effectiveness. Results will be discussed and minutes will be drawn up.

10.3.2.4 Reporting

Minutes of meetings will be made and forwarded together with the list “Suggestions for Improvement” to the Managing Director. The Managing Director will note his decisions on the list and forward a copy to the vessel and the DPA.

The suggestion list will be discussed during the Management Review Meeting.

The DPA will monitor the progress on decided activities and reports the status to the Managing Director.

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Chapter 11 Appendix (Forms, Checklists & Proceedures)

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