ATTACHMENT_I_-_Sample_SMS-IA_Assessment_Report.pdf

ATTACHMENT I

SAFETY MANAGEMENT SYSTEM (SMS)

SHIPBOARD INTERNAL ASSESSMENT

REPORT

USNS xxxxxxxxx (T-XXX-001)

30 – 31 July, 2017

Manama, Bahrain

Prepared by:

EXECUTIVE SUMMARY:

1.1. This audit compared objective evidence contained in records to the existing policies and procedure of the Military Sealift Command (MSC) Safety Management System (SMS) and the requirements of the International Safety Management (ISM) Code to determine the levels of compliance obtained. This evidence was documented within the lead auditor’s checklists, notes, examples, and this report. A copy of Findings initiated and audit Observations were left with the ship's Master at the conclusion of the audit.

1.2. There were five (5) Findings issued during the Audit and 11 Observations were made (see sections 7 and 8 for details). The Master was provided a preliminary report that included the Findings and Observations.

2. OBJECTIVES:

MSC Government Owned, Government Operated vessels operate under a SMS. The implementation of each vessel’s SMS is assessed annually by an Internal Audit (IA).

The intent of these assessments is to gauge compliance with requirements of the MSC SMS and the ISM code.

The objective of this report is to describe the results of the assessment and to fulfill the reporting requirement by gathering evidence of compliance with the requirements of the SMS through observation, interviews, and the examination of documentation.

AUDIT FOCUS AREAS: MSC employs a data-driven, risk-based approach to ISM Auditing. This includes a review of MISHAPs, near-misses, SMS Findings as well as Auditor and Force Safety Officer feedback, ABS and USCG focus areas and top management concerns to help steer our Internal Audits. While not limiting in any way, current Auditor focus areas include Confined Space, Working Aloft, Hazardous Materials, Navigation Safety, Drills, Electrical and Electronic Safety, Personal Protective Equipment, and Corrective and Preventive Maintenance.

The goal of the audit is to gather objective evidence of compliance with the requirements of the SMS through observation, interviews, and the examination of documentation.

3. OPENING MEETING:

An opening meeting was held at 0820 in the Officer’s Messroom with the department heads. Introductions were made by auditor. It was explained that the audit is a sampling process to assess the vessels compliance with the established policies and procedures. At this time, an audit schedule was agreed upon. The auditor stressed that he understood the busy schedule that the crew was dealing with while in port. The auditor noted that he would work around their schedules and not interrupt any critical tasks that required their immediate attention. The agenda was discussed along with past findings from the last IA. The names of the opening meeting attendees can be found in Attachment 1.

4. VESSEL MANNING:

Assigned: (19) CIVMAR, (8) MILDET Onboard: (19) CIVMAR, (8) MILDET

5. REGULATORY:

5.1. Certificates:

Certificate of Inspection (COI):

Date of Issue: 27 SEP 2013 Date of Endorsement: (Annual COI performed) Date of Expiration: 27 SEP 2018

Safety Construction SOVC:

Date of Issue: 30 SEP 2013 Date of Endorsement: 20 SEP 2016 Date of Expiration: 29 SEP 2018

Safety Equipment SOVC:

Date of Issue: 30 SEP 2013 Date of Endorsement: 20 SEP 2016 Date of Expiration: 29 SEP 2018

International Oil Pollution Prevention SOVC:

Date of Issue: 30 SEP 2013 Date of Endorsement: 20 SEP 2013 Date of Expiration: 29 SEP 2018

IOPP Supplement – Record of Construction and Equipment:

Date of Issue: 30 SEP 2013

International Sewage Pollution Prevention SOVC:

Date of Issue: 30 SEP 2013 Date of Expiration: 29 SEP 2018

International Air Pollution Prevention SOVC:

Date of Issue: 30 SEP 2013 Date of Endorsement: 20 SEP 2016 Date of Expiration: 29 SEP 2018

International Energy Efficiency Certificate (IEEC) SOVC:

Date of Issue: 30 AUG 2013

International Convention on the Control of Harmful Anti-Fouling Systems on Ships (AFS) SOVC:

Date of Issue: 11 APR 2013

Safety Management Certificate (SMC) SOVC:

Date of Issue: 01 MAR 2015 Date of Endorsement: N/A

Date of Expiration: 14 APR 2020

6. PREVIOUS FINDINGS (INTERNAL / EXTERNAL AUDITS AND OTHER):

6.1. The following Corrective Action Plans have been verified and should be closed:

6.1.1. #154/2100 Gage, Meter and Test Equipment Calibration Requirements:

Gage, Meter and Test Equipment have been calibrated. Calibration certificates were sited – VERIFIED

6.1.2. #155/2098 Fall protection Program: Working Aloft checklists are now completed as required – VERIFIED

6.1.3. #167/2099 Crew Training and Qualifications – The MDR has not yet completed the Heat Stress Afloat Course – Evidence not available – This finding should remain open.

6.1.4. #1681 Drills: Emergency Maneuvering Drill has been conducted –

VERIFIED

6.1.5. #1682 Drills: Rescue from Confined Space Drill conducted – VERIFIED

6.1.6. #1683 Electric and Electronic Safety: The 5 items identified in the Electrical Safety Checklist have been taken for action – VERIFIED

6.1.7. #1684 Electric and Electronic Safety: All Personal electrical equipment used onboard the Catawba is UL approved and therefore does not require testing – VERIFIED

6.1.8. #2096 Drills: Confined Space and Emergency Maneuvering Drills have been conducted – VERIFIED

6.1.9. #2097 Document Control: Vessel using the latest TDI Form –

VERIFIED

6.2. The following open Findings could not be verified:

6.2.1. #156/2170 Confined Space Entry: OPEN

7. FINDINGS IDENTIFIED DURING THIS AUDIT:

7.1. Procedure: 2.2-016-ALL “Shipboard Garbage Management”

Requirement: Paragraph 3.13.1 of the Procedure includes the following language:

“The revised MARPOL V identifies nine (9) categories of garbage. Only six (6) are included on MSC’s garbage log. The following three (3) are not applicable to MSC ships: A) Cargo Residues B) Animal Carcasses C) Fishing Gear.” The six categories required to be logged are: Plastic, Food Waste, Domestic Waste (Paper, Rags, Glass, Metal, Bottles, Crockery, etc.), Cooking Oil, Incinerator Ashes, and Operational Waste.

Finding: It was noted that the six required categories that MSC requires were not being recorded consistently in the Garbage Log. There were 137 category entries missing during the past year in the log.

Assigned: Assigned to Environmental Manager to Assist Ship’s Force (e.g.

additional training, guidance, etc.) in resolving.

7.2. Procedure: 2.1-020-ALL 3.10.1, “Gas Free Engineer”

Requirement: Paragraph 3.10.1 of the Procedure includes the following language:

“The assigned Gas Free Engineer must have completed the Gas Free Engineering training requirement as stated in the ship’s SMS Competency Matrix (SMS 6.4-001-01) ATF prior to assignment.”

Finding: The Chief Engineer is the designated Gas Free Engineer and did not have the required training stated in the ship’s SMS Competency Matrix (SMS 6.4-001-01) ATF prior to assignment.

Assigned: Assigned to N1 for resolution.

7.3. Procedure: 6.1-001-ALL “Drills”

Requirement: Paragraph 3.2 of the Procedure includes the following language: “The

Master has overall responsibility to ensure that drills and training are conducted as scheduled. Checklist 6.1-001-01-ALL, CFR Required Drills and Events, lists drills, inspections, tests, and training required by regulation.”

Finding: Checklist 6.1-001-01-ALL does not include reference to the annual inspection / test of the Rescue Boat required in 33 CFR 150.514 “Rescue Boat.” This test requires that at least annually, the operator must: (a) Strip, clean, thoroughly inspect, and, if needed, repair each lifeboat, rescue boat, and liferaft. At that time, the operator must also empty, clean, and refill each fuel tank with fresh fuel.

Assigned: Assigned to N73 (SMS) for resolution.

7.4. Procedure: 7.4-002/ATF “Waste Oil/Oily Waste External Transfer”

Requirement: Paragraph 3 2 includes the following language: Oil Record Books shall be annotated IAW Memo to Masters, Chief Engineers and Shore Staff #124 (Reference 5.1) USCG letter 16711 I Serial No. 756 2007 Oil Record Book, Aug 21 2103 (Reference 5.2) and MEPC.1/Circ 736/Rev.2 6 October 2011, Guidance for the Recording of Operations in the Oil Record Book Reference 5.3). Oil record book entries to include date of entry (dd/mm/yyyy) signature and position of person making the entry and date the entry signed (dd/mm/yyyy).

Finding: Entries that were observed in the current Oil Record Book did not contain the date the entry was signed.

Assigned: Assigned to Program for resolution on the ship.

7.5. Procedure: 7.2-007- ALL “General Navigation and Navigation Safety”

Requirement: Paragraph 3.11 of the Procedure includes the following language: “At a minimum, weather permitting, an azimuth or amplitude shall be taken, by the second mate, once a day to determine gyro error.”

Finding: There was no evidence that an azimuth or amplitude had been taken and recorded in the compass error book since 10/14/16.

Assigned: Assigned to Program for resolution on the ship.

8. OBSERVATIONS IDENTIFIED DURING THIS AUDIT:

8.1. There was no evidence that a Towing Bill or other suitable shipboard document was created or posted for the crewmembers. The Towing Bill was posted prior to auditor departing the vessel.

8.2. There was no record that the oil transfer pipe system has been hydrostatically tested to 1.5 times the allowable pressure. There appears to be confusion between the requirements of the USCG MSC Memorandum of Agreement and MSC practice regarding this issue that should be considered by the ISM Steering Committee for clarification (see 33 CFR 156.170 “Hydrostatic test of the oil transfer pipe system”).

8.3. It was noted that there were approximately 40 five gallon paint cans stowed on the main deck. These cans were relocated to the paint locker and a warehouse ashore prior to the auditor departing the vessel.

8.4. The Lifeboat Radios did not have the required spare batteries. The vessel acquired spare batteries from another vessel prior to the auditor departing the vessel.

8.5. The No-Go zones and Bail Out points were missing on the charts in the vessel’s coverage area.

8.6. The Forepeak/Collision Bulkhead Valve reach rod was frozen and required a shoreside vendor to make the repairs to ensure that the valve was fully operational. This valve is both a Forepeak Tank and Collision Bulkhead Valve.

The valve was noted to be in the OPEN position. This valve should be in the CLOSED position at all times unless ballasting is being conducted in this tank.

The valve should periodically be operated to prevent seizing which, will help ensure that it remains a fully operational condition.

8.7. The Hold Back Latch on the Chill Box was not functional. This needs to be repaired or replaced to ensure the safety of the crew when working inside the Chill Box.

8.8. The Ship’s Position Logbook was missing the dates on several pages next to hourly Latitude and Longitude entries.

8.9. Several expired pyrotechnics were found in the pyrotechnic locker. The expired pyrotechnics need to be marked as being expired to prevent accidental usage.

8.10. It was noted that there were three boxes blocking the access to the eye wash station on the Main Deck. Boxes were removed prior to the auditor departing the vessel.

8.11. There was no evidence that following required tests were conducted and recorded in the GMDSS Logbook: A) Weekly B) Monthly C) Pre-departure D) Results of required equipment tests, including specific gravity of lead-acid storage batteries and voltage reading of other types of batteries provided as a part of the compulsory installation.

9. SHIPBOARD AUTOMATED MAINTENANCE MANAGEMENT (SAMM):

9.1. List any deferred maintenance on Safety and Critical Equipment – None

9.2. List Vessel Repair Requests (VRRs) open for more than 2 years:

9.2.1. VR07-066 Main Engine LO Strainers – 10/06/13

9.2.2. VR13-0101 #1 Engine room Exhaust Fan Plenum – 10/31/13

9.2.3. VR14-0021 C/E Laptop Console – 5/12/14

9.2.4. VR14-0036 Astern Refueling Connection – 7/13/14

9.2.5. VR15-0009 ASW Main and Flushing Water Supply Piping – 1/25/15

10. PERSONNEL INTERVIEWED:

10.1. Personnel interviewed were asked questions to gage their knowledge / understanding regarding the Safety Management System, emergency response and their position description and specific responsibilities. Deficiencies noted during personnel interviews are identified either as a Finding in Section 10 or as an Observation in Section 11 of this report.

10.2. A list of the personnel who were interviewed can be found in Attachment 1 in the “Audit” column.

11. CLOSING MEETING:

A closing meeting was held in the Officers Messroom. The discussion included a review of the verification activities carried out, the overall status of the application of the management system, presentation of the corrective action requests and review of the notable observations made during the course of the audit.

It should be noted that the crew of the USNS Catawba were very helpful, courteous, hospitable, and generous with their time during the internal audit: the auditor wishes to thank them. They have put forth an effort to understand and comply with the requirements of their Management System, and the crew members interviewed were helpful to each other and ensured mutual success. The crew and management should continue to work toward complying with the Safety Management System, and continue to examine their own areas of weakness for ways to strengthen the System. The names of the closing meeting attendees can be found in Attachment 1.

12. CONCLUSION:

12.1. General: The Safety Management System (SMS) is established, documented, implemented, maintained and continually improved. All persons were extremely knowledgeable about the SMS with regards to knowing the Designated Person Ashore, his roles, their emergency duties, how to access their duty statements and applicable procedures/checklist/forms relating to their jobs.

12.2. Policies: Objectives, Manual and Procedures: The SMS contains all the policies, objectives, manual and procedures documentation required including an assessment of all identified risks to its ships, personnel and the environment with establish safeguards.

12.3. Control of Documents and Records: Documented procedures are established which define the controls.

12.4. Records: Records are established to provide evidence of conformity to the requirements and of the effective operation.

12.5. Management Responsibility: Management sets the company quality, safety and environmental policies and implements them by providing resources, personnel and training and conducting reviews and audits at planned intervals to ensure its suitability, adequacy and effectiveness.

12.6. Resources: The Organization has defined and documented the companies Designated Person and Master's responsibilities. Personnel are trained, competent and aware of how they contribute to the success of the organization.

Records are maintained. The organization manages a safe working environment.

12.7. Measurements, Analysis and Improvements: Procedures are established to ensure the application of effective corrective action and to prevent recurrence.

12.8. Shipboard Operations and Emergency Preparedness: The organization has established procedures and checklists for key operations concerning the safety of personnel, ship and protection of the environment.

12.9. Maintenance: The organization has established procedures to ensure that he ship is maintained inconformity with applicable rules, regulations and requirements established by the organization.

Attachment 1: Opening / Closing Meeting Attendees and Personnel Interviewed

Auditor Use Only

# Print Name Position / Title Open Audit Close

1. Master x x x

2. Chief Mate x x x

3. Chief Engineer x x x

4. Jr. Supply Officer x x x

5. 2nd Officer x x x

6. Communications x x x

7. 3rd Mate/MDR x

8. 3rd Mate x

9. Able Seaman x

10. Able Seaman x

11. Able Seaman x

12. 2nd Engineer x

13. Engine Utility x

14. Steward/Cook x

15. 2nd Cook x

16.