Checklist for Company Safety Management System

Number of relevant employees who carry out or have

IMO Company ID. No.: responsibility to the SMS of the Company ashore.
Company Name: Type of Audit Record No.
Company Address: Country:
Designated Person(s): Tel.: Fax:
Date of Audit: Name of Auditor(s): E-mail:
Title & Latest Revision Date of Manual: Website:

Note:
(1) This Checklist indicates items to be included at least in the samples at self checking.
(2) In principle, the verification over the Company’s implementation of SMS should be made comprehensively for the past one year. However, in the Renewal, the verification over the
Company’s implementation of SMS should be extended to include the reports issued by the external audits, PSC or marine casualties, and the company’s investigation and analysis
conducted in response to them, for the past five years.
(1) I t em s to be che cked pri or t o au di t
Items to be checked CHK Remarks
1-1 Changes of ships under management As for new acquisition, a copy of owner’s report to the Administration as required in ISM Code 3.1 to be available.
If there are any SMC of ships left from the Company’s management, auditor should demand the return of the same to RO for “Termination of ISM registration”
1-2 Changes in Company’s name/address If Additional Audit has not yet started, an Additional audit for changes shall be applied to the RO.
1-3 Confirmation of ship types covered by DOC If any ship type no longer exists under management for more than 1 year, rewrite of DOC shall be requested at next Audit.
1-4 Confirmation of ship flags covered by DOC If no ship under management, remains with any Flag, the DOC of same Flag shall be returned at next Audit.
1-5 Confirmation of reporting to Flag States A copy of owner’s report to the Administration as required in ISM Code 3.1 to be confirmed, for every ship.

(2) I t em s to be confir med pr i or t o au di t

Type of ship* F l ag & n um be r o f s h i p s u n d e r m a na g e m e n t Type of ship* F l a g & n um be r o f s h i p s u n d e r m a na g e m e n t
Oil Tanker Bulk Carrier *
Chemical Tanker Other Cargo Ship
Gas Carrier Passenger Ship
* Refer to SOLAS IX/1
Acti ve Crew na ti on ali t y
Masters Chief Engineers
Deck Officers Engineers
Deck Ratings Engine Ratings
Radio Operators Cooks
Languag e Manual, Procedures and Instructions Working Language Onboard

Notice: The parts of checklist which are not used during audit should be deleted by lines appropriate according to the audit scope.

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(3) Interview with Top Management - Chief Executive Officer/Managing Director
Items to be asked during interview Chk Code Remarks
3-1 Have you noticed any benefits since your company has introduced its SMS? 12.3
3-2 What opinion do you have regarding SMS activities of all personnel involved? 12.3
3-3 What matters has D. P. A. reported to you recently regarding SMS? 4
3-4 How do you think about Key points of Management Review? 12.3
3-5 What do you think about Casualties of late years in the world? -

(4) Responsibility of Designated Person Ashore - DPA

Items to be checked Chk Code Remarks
Is D.P.A. monitoring the safety and pollution-prevention aspects of the operation of each The judgement shall be made taking into consideration of the following
4 ship and ensuring that adequate resources and shore-based support are given as needed? 4
items.
4-1 How often do you or nominated personnel on your behalf visit your ships? 4
Can all Masters identify you as the DPA and that you are the specific person in charge of
4-2 SMS? 4
4-3 What matters did you report to top management? (What matter recently?) 4 Regular Reports Occasional Reports

(5) System Review -DPA

Items to be checked Chk Code Remarks
Is the company periodically evaluating the effectiveness of SMS and, when needed, The judgement shall be made taking into consideration of the following
5 12.3
reviewing the SMS in accordance with procedures established by the company? items.
Confirm if proper revisions on the SMS Policy, Manuals and Procedures, since the last Typical Reasons of Revision
5-1 audit have been made, on the basis of company’s explanations with reasons on the 12.3 Organization, Rule/Regulation, Internal/External Audit,
revised parts. Non-conformity/Deficiency for SMS offered by Staff/Master,
PSC Inspection, Accident, Casualty;
-a Have the revisions of mandatory rules, such as IMO conventions, been taken into SMS? 1.2.3.1
SOLAS V/28 – Retention of Daily Report
-b Are the revisions approved by responsible person, according to the procedures? 11.2.2
5-2 Following items, as functional requirements of SMS, shall be verified.
-a Is the Safety & Environmental-protection Policy clearly shown? 2.1 Signature of the Top management Latest revision date
-b Are the objectives of SMS clearly stated in the SMS? 1.2 Continuously improve safety management-skills Mandatory rules
-c Risk Assessment 1.2
Element of the procedure identification of the risk
-c(1) Are there procedures for risk assessment in SMS?
assessment of the risk establishment of safeguard against the risk

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 Items to be checked Chk Code Remarks
shipboard operations emergency preparedness maintenance of the
ship and equipment Others ( )

IMSBC Code 3.1.2

Fire safety risk assessment-Cargo handling areas on self-unloading bulk
carriers featuring internally installed conveyor systems within the ship's
structure.
Have you procedures for fire safety risk assessment in SMS?
-c(2) What is the scope of risk assessment in vessel? Identification of the fire safety risk under all anticipated operating
conditions and cargoes
Establishment of safeguard with due consideration for fire prevention and
the effective operation of fire detection systems, containment
and suppression against the fire safety risk
Hot work near conveyor system
Conveyor systems (Maintenance of rotor bearing and shaft)
Operating conditions and cargo
Fire-Extinguishing system (Fire Detecting Alarm System etc.)
-c(3) Who has the responsibility to the implementation of risk assessment? company ( ) ship ( )
Are identified risks to ships, personnel and the environment assessed and reviewed at the
-c(4)
meetings?
safeguard newly established （ ）
-c(5) Are there any safeguards newly established on the results of the management review?
It is judged no new safeguard is needed
Are the procedures of reviewing SMS by the master and reporting its deficiencies to the
-d 5.1.5 Is the timing of reporting clearly specified?
shore-based management stated in the SMS?
-e Are the procedures of reporting accidents and NC to the SMS stated in the SMS? 9.1 Is the definition of NC clearly specified?
5-3 Following items shall be verified on the basis of records of system reviews.
-a Are system review meetings held by the company, at least once a year?
12.3
-b Are necessities of revisions of the SMS discussed at the meetings?
-c Are the results of system reviews brought to all Departments and Ships? 12.6
Are performances and appraisals of manning agencies and training needs for seafarers
-d 12.2
(Masters & Crew) discussed at the meetings?
Are detentions & deficiencies by PSC and NC & OBS at Internal/External Audits
-e
discussed at the meetings?
Are the results of Master’s SMS reviews and reported deficiencies/failure reports
-f
discussed at the meetings? 12.3
Are countermeasures, and revisions of SMS, if necessary, for accidents, casualties and
-g sickness & death occurred on ships managed by either the company or others discussed
at the meetings?
Non-Conformities were raised at past External Audits of Ship/Company and Internal
5-4
Audits. In the Renewal Audit, this verification should be extended over the past 5
-a Verification of investigation & analysis on non-Conformities years.
12
-b Verification of investigation & analysis on PSC detention, marine casualty

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(6) Internal Audit - DPA/Internal ISM Auditors
Items to be checked Chk Code Remarks
Is the company carrying out internal safety audits to verify whether safety and The judgement shall be made taking into consideration of the following
6 pollution-prevention activities comply with the SMS? 12.1 items.
6-1 Implementation of Internal Audits shall be verified on the basis of its plans.
Are Internal Audits for all departments and ships planed at intervals not exceeding
-a 12.1
twelve months?
Are procedure and criteria to extend internal audit within three months under exceptional 12.1 If there is the vessel flying the flag of Bahamas, Marshall Island and Panama under
-b
circumstances established in SMS? 12.4 management, reference to be made for flag special requirement in Appendix II
-c Are all Internal Audits conducted within twelve months from previous date of audit? 12.1 If “No” go to 6-1-d
12.1
-d Are extension of Internal Audits conducted as per SMS Manual/Procedures? N/A
12.4
6-2 Following items shall be verified on the basis of Internal Audit Reports.
-a Are Internal Audits carried out as per SMS Manual/Procedures? 12.4 Assignment of Internal Auditor(s) Notification of Internal Audit Checklists
Are corrective action requests and corrections for NCs, and verification of its
-b effectiveness carried out in order? 12.7
-c Are results of Internal Audits reported to Top Management as per Procedures? 12.4 If any comments of Top Management or Designated Person(s) could not be
-d Are results of Internal Audits brought to all Departments and Ships? 12.6 found, NC may be raised relating to the ISM Code 12.3.
6-3 Checklists for Company Internal Audit shall include following items. points of Checklist; in detail
-a State of records prepared by office and records from Ships.
State of management of controlled documents and legal/statutory publications (incl.
-b
abolition).
-c Response to requisitions from Masters of ships.
12.1
-d Response to Trouble/Failure reports from Masters of ships.
-e Performances of Manning Agencies and control of Seamen’s Certificates.
-f Pre-joining training, Essential Instructions and Training needs.
12.1
-g Joint Exercises for Emergency and Evaluation for them.
6-4 Checklists for Shipboard Internal Audit shall include following items.
SOLAS, Chapter III, Reg.19, 5 “Records” Abandon ship drills
-a Official (Deck) Log Book Entry. Fire drills Enclosed space entry and rescue drills
Other life-saving appliances Onboard training
-b Motivation of crewmembers for company’s SMS by Master.
Master’s order Watch schedule Muster Lists
-c Placards to be posted up, such as Master’s standing order and so on.
Garbage control Smoking regulation
12.1 STCW Code, Part A, Section A-VIII/2, Part 2 “Voyage Planning”
-d Verification by Master on Voyage & Passage plan and Chart correction.
C/E shall, in consultation with Master, determine the needs of the intended -
-e Confirm ECDIS handling procedure in SMS how to update ENCs
Master’s judgement on effect of SMS & his proposal to improve the SMS
-f Master’s review on the SMS and reporting its deficiencies. & Reporting to the company of any SMS deficiency have been made
regularly?
-g Master’s awareness on the SMS

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 Items to be checked Chk Code Remarks
STCW Code, Part A, Section A-VI/1 & Section A-I/14
-h Familiarization training & Essential instructions for newly joined crew.
Elementary training (A-VI/1-1) Specific training (A-I/14-2)
-i Training needs on operation & maintenance of hull, machinery & equipment.
-j Crewmembers’ awareness on the SMS, incl. languages and education.
-k Performance of crewmembers; communication, behavior & activity. Appraisal records
-l Deck & Engine Log Book as per Manual/Procedures Especially special operation, etc.
-m Garbage Record Book Evidence of plastics disposal ashore
-n Drills, Training & Instructions onboard Yearly Plan
Collision Grounding Oil pollution (SOPEP) Flooding
-o Training onboard for Emergency Situations specified by the Company
M/E failure Blackout
SOLAS, Chapter III, Reg.19(Emergency training & drills), Chapter V,
-p Drills, Training and Instructions onboard required by SOLAS
Reg.26 (Steering Gear)
-q Launching record for Life/Rescue boat(s) Chapter III, Reg.19, 3.3.3 (at least once every three months)
-r Detentions/Deficiencies by PSC and NC/OBS at External Audits.
-s Progress monitoring & reporting of Planned Maintenance
-t Corrections and preventive measures to Trouble/Failure Reports
-u Management of Controlled Documents and Legal Books & Publications Controlled Documents Legal/Statutory Books Publications Latest Edition
-v Management of Incoming/Outgoing letters Incoming letters Outgoing letters
-w Management of controlled records Records kept onboard Reports to Company
6-5 Periodical verification to all those undertaking delegated ISM-related tasks Manning Agencies maintenance
Internal Auditor(s)
Are there procedures of periodically verifying whether all those undertaking delegated 12.2 other ( )
-a ISM-related tasks are acting in conformity with the Company’s responsibilities under the N/A
Code?
-b Are the periodical verifications planned to carry out, at least once a year? 12.2 Notice: Resolution MSC.353(92) the amendments to ISM Code entered
-c Are the Periodical verifications carried out as per SMS Manual/Procedures? into force on 1 January 2015. (ISM Code 6.2, and 12.2 to 12.7)

(7) Shipboard Operation, Specific Items for Ship Types & Flag States - Marine Manager/Operations Manager
Items to be interviewed Chk Code Remarks
Are plans and instructions, including checklist as appropriate, for key shipboard
The judgement shall be made taking into consideration of the following
7 operations concerning the safety of the ship and the prevention of pollution established 7
and maintained? items.

7-1 Confirmation of Procedures & checklists

Enter/leaving port Watch (at sea/in port) Chart correction
-a Are procedures & Checklists for key shipboard operations maintained properly?
7 Cargo Handling Dangerous work Pollution prevention
-b Have your procedures for handling cargoes other than specified in existing procedures? Ask the company’s assistance Pre-notice from the company
7-2 Supporting the shipboard Operation
Direct from company. Is the company confirming the direct sending
-a Confirm how to supply Notice to Mariners and Charts.
by chandler? Is any procedure available in urgent cases?
6.1.3
What kind of official letters have you issued to provide the ships with necessary Guideline for Voyage Planning IMO Res. A.893(21)
-b information? Ballast Water Management Piracy Information PSC Information

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 Items to be interviewed Chk Code Remarks
Assistance from the Company
-c Has any Master ever made use of his overriding authority actually? 5.2
Investigation by the Company and revision of SMS, when necessary.
7-3 Specific Items for Ship Types
Refer to Appendix I
-a Specific Items for all ship types shall be verified. 7
7-4 Specific Items for Flag States
-a Are the Rules and Circulars of every Flag available in the office and onboard each ship?
1.2.3.1
-b Compliance with requirements specific Flag State shall be confirmed. Refer to Appendix II
(8) Emergency Preparedness – Operations Manager
Items to be interviewed Chk Code Remarks
Has the company identified and described the potential emergency shipboard situations
and established procedures to respond to them? Are programmes for drills and exercises The judgement shall be made taking into consideration of the following
8 8
to prepare for emergency actions established? Can the company’s organization respond items.
at any time to them?
8-1 Identification and Response procedures for potential Emergency Situations
-a Have emergency situations identified by the company been reviewed? 8.1 Actual Casualties? Piracy
Joint exercise at least once a year
-b Is a yearly plan for joint exercises and shipboard drills prepared? 8.2 Different type of emergency every year
-c Is “Emergency Contact List” updated? Latest revision date
8.3 How many phones How many Fax Exclusive use
-d Is emergency contact to the company always available? How they cope with the situation, when all phones are busy?
-e Are emergency reporting procedures (1st and subsequent detail reports) clearly specified? 8.1
-f How emergency response team been dealt with in case of prolonged situations?
Is Emergency Towing Booklet prepared in the Company for emergency N/A 8.3 If there is the vessel flying the flag of Japan under management, reference to
-g
preparedness? be made for flag special requirement in Appendix II
8-2 Verification on Joint Exercises on the basis of exercises reports/records
-a Was the emergency response team actually mobilized?
-b Was a scenario for the joint exercises prepared?
-c Are the last exercise’s evaluation reflected in the recent exercise?
-d Were ship’s drawings, nautical charts, exclusive phone, etc actually prepared?
-e Were outside organizations actually involved? 8.2
-f Were the exercises performed during office hours?
-g Were the results of the exercise evaluated by the Company & the Master? Confirm the Master’s evaluation.
-h Are any points to be improved in emergency respond procedures found? Is the procedures revised, when it is necessary?
-i Were all activities of exercise, from beginning to closing out, recorded?
8-3 Verification of onboard Drills and Training on the basis of their reports/records
SOLAS, Chapter III, Reg.19 “Emergency training and drills”
-a Were onboard drills & training executed as per SOLAS requirements?
SOLAS, Chapter V, Reg.26 “Steering gear: Testing and drills”
8.2
-b Is the duration of the drill reasonable?
-c Are the extinguishers used at Fire drills suitable to target locations? Electric Oil Others

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 Items to be interviewed Chk Code Remarks
Those specified in the SMS: Collision Grounding
Are onboard Drills, Training and Instruction for emergency situations executed as per
-d
procedures?
Oil pollution (SOPEP) Flooding Emergency Towing
Recovery persons from the water, etc.
-e Was a scenario for the onboard emergency exercise prepared?
-f Were the results of Drills and Training evaluated by Master?
(9) Non-conformities, Deficiencies, Accidents & Hazardous Occurrences -DPA
Items to be interviewed Chk Code Remarks
Does the company ensure that non-conformities, accidents and hazardous situations are
The judgement shall be made taking into consideration of the following
9 reported to the company, investigated and analysed with the objective on improving 9
safety and pollution prevention, and necessary corrective actions are taken? items.
Deficiency Report Non-conformity Report Free Form
9-1 Reporting of Non-conformity (Deficiency) and Measures to address them Experience Report Minutes of Ship Meeting Failure Report
Non-conformity: SMS Problem Deficiency: Problem of Hard ware
-a Are definitions of Non-conformity (Deficiency) clearly specified in the SMS? Failure Report found, although they call everything as deficiency.
-b Are deficiencies at PSC inspections reported to the company? What Form to be used?
-c Are NCs and OBSs raised at external audits reported to the company? 9.1 What Form to be used?
-d Are incompetent crew and claim from outside party reported to the company? What Form to be used?
Is there no lack of PSC Records kept by the company, comparing with PSC history
-e
obtained through information to auditor?
-f Do reports to the company contain proposed corrective actions?
-g Are these reports investigated and analyzed by the company?
9.2
Have these matters, together with preventive measures, been brought to the attention of
-h
other ships concerned?
9-2 Reporting of Casualties, Accidents & Incidents and Measures to address them
-a Is there any casualty or accident? Is this reported to company, if any? 9.1 What Form to be used?
-b Have these reports been investigated and analyzed by the company?
9.2
-c Have these matters been brought to the attention of other ships concerned?
9-3 Reporting of Hazardous Occurrence (Near miss) and Measures to address them
-a Are hazardous occurrences (Near miss) reported to the company? 9.1 What Form to be used?
-b Are these reports investigated and analyzed by the company?
Have these matters, together with preventive measures, been brought to the attention of 9.2
-c
other ships concerned?
(10) Maintenance – Technical Superintendent
Items to be interviewed Chk Code Remarks
Does the company ensure that the ship is maintained in conformity with the provisions of
The judgement shall be made taking into consideration of the following
10 the relevant rules and regulations and with any additional requirements, which may be 10
items.
established by the company?
10-1 Confirmation of Certificates & Survey Records The Statutory and Class Certificates, and the Statutory and Class survey records of at
-a Are the validity of certificates and survey arrangements properly managed? 10.1 least one ship for each ship type shall be verified, irrespective of classifications.
10-2 Planned Maintenance Typical Reasons for Revisions of maintenance Standards and Plans
-a Are the planned maintenance items and their intervals in order? 10.2.1 Master’s Report, RO’s Survey, RO’s Audit PSC

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 Items to be interviewed Chk Code Remarks
-b Are revisions of maintenance standards and maintenance plan in order? Company’s Analysis
Auditor should verify that Company has the technical standards for maintenance
-c Are the progress monitoring of planned maintenance executed properly? to hull structures, machineries and equipment, including the mechanical damages,
corrosion/wastage and rust to them for repair
10-3 Support from Ashore
-a Is person in charge responding to failure reports from ship immediately? 10.2.3
-b Are possible causes described in the failure reports? 10.2.2
-c Are appropriate corrective actions for the failure reports taken? 10.2.3
-d Are necessary information, such as revisions of convention and technical notices from 6.1.3 Revisions of Conventions (Information from ROs, etc.)
makers, provided to ships under management? Technical Information from Makers
10-4 Critical Equipment and Systems Critical Equipment and Systems means those sudden operational failure of
-a Are specific measures aimed at promoting the reliability of critical equipment and which may results in hazardous situations.
systems provided? 10.3
-b Are the regular testing of stand-by arrangements and equipment or technical systems that
are not in continuous use included?
( 11) Documentation - DPA
Items to be checked Chk Code Remarks
Has the company established and maintained procedures to control all documents and The judgement shall be made taking into consideration of the following
11 11
data which are relevant to the SMS? items.
11-1 Management of Controlled documents
-a Are the revisions of Manuals & procedures executed as per procedures? 11.2.2 Prepared by whom Assessed and Approved by Responsible Person
-b Are the distributions of revised documents executed as per procedures? 11.2.1 Distribution list Confirmation of Receipt
-c Are the obsolete documents removed as per procedures? 11.2.3 Confirmation of Removal
11-2 Management of Legal/Statutory books and Publications
-a Is a list of books & publications to be placed in office and on board available? International Conventions Rules & Circulars of Flag States
11.2.1
-b Is confirmation of updated editions executed as per procedures? At Internal Audits By Regular Review
11-3 Management of Official letters and Correspondences
Are official letters and correspondences of the company controlled properly as per
-a procedures? Official Letters Regular Reports Internal Correspondences
Are letters and documents from outside of the company controlled properly as per
-b procedures? 11.2.1 Flag States / Port States Owners / Charterers Makers, etc.
Are up-to-date as Built Construction Drawings available in the office for every ship If the same are not available for ships constructed on or after 1 Jan. 2007,
11-4
managed by the company? NC should be raised. (Mandatory requirement of SOLAS II-1/3.7)
(12) Manning - Human Resources
Items to be interviewed Chk Code Remarks
Does the company ensure that each ship is manned with qualified, certificated and
medically fit seafarers in accordance with national and international requirements, and
The judgement shall be made taking into consideration of the following
12 necessary education and training are provided to all personnel concerned? 6
items.
Does the company ensure that each ship is appropriately manned in order to encompass
all aspects of maintaining safe operation on board?
12-1 Certificates & Medical fitness, etc.

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 Items to be interviewed Chk Code Remarks
-a Is a copy of Minimum Safe Manning Certificate of every ship available? 6.2.2
-b Are copies of Certificates of competency for Masters & officers available? Verification shall be done, by sampling method, at least one ship for each
Flag State.
-c Are copies of Certificates of proficiency, required by STCW, for rating crew available?
-d How has the person in charge checked the authenticity of certificates? 6.2.1
Are the personnel data, incl. copies of valid medical certificates, of all crew in service STCW 95, Regulation I/14 “Responsibilities of companies”, 1.3
-e available? Medical certificate Service record Training history Competence
12-2 Assignment and Evaluation of Masters
Who is responsible for assigning the Masters, and what is the procedure for such
-a assignment? 6.1.1
Pre-joining training for the Master Briefing at the company
Who is responsible for assessing the Master’s familiarity with SMS, and what is the Who shall finally decide, when trained at Manning Agency?
-b procedure for such assessment? 6.1.2
Who is responsible to appraise the Master’s abilities and performances, and what is the
-c procedures for such appraisal? 6.1.1
12-3 Appraisal and Training of Seafarer Pre-joining training Essential Instructions
Written Instructions to Master (STCW, Section A-I/14, 2)
-a Are Familiarization Training for newly joined/transferred crew executed properly? 6.3 Records of Elementary and Specific Familiarization training
6.4 Training Needs Mandatory rules and regulations
-b Are the refresh training for seafarers, incl. reserve crew, executed properly? Applicable codes, guidelines and standards recommended by IMO, etc.
6.5
-c How the case is dealt with, when some crew cannot read manual/procedures? 6.6 Translation for needed portions Translation by Ship’s officers
Multi-languages Muster list, Placards and so on.
-d How the case is dealt with, when multi-national crew are onboard? 6.7 Assessment of language abilities prior to employment
-e Are procedures to prevent re-employment of incompetent crew established? 6.2.1
Are there procedures to appropriately man in order to encompass all aspects of Notice: Resolution MSC.353(92) the amendments to ISM Code entered
12-4 6.2.2 into force on 1 January 2015. (ISM Code 6.2, and 12.2 to 12.7)
maintaining safe operation on board?
12-5 Evaluation of Manning Agent(s)
-a What training materials for crew are given to the manning agencies? 6.2.1 Company’s Policies SMS Manuals & Procedures Others
-b Are the performance evaluations of them conducted regularly and properly? 12.2 If “No” go to 6-5
( 13 ) Tour through the Office - All Department HODs
Items to be checked Chk Code Remarks
13-1 Are valid documents available at all relevant locations? 11.2.1
13-2 Are copies of all valid ship trading certificates maintained properly? 10.1
Are required legal/statutory books & publications, circulars and finished plans (incl.
13-3 Instruction books) maintained properly? 11.2.1
13-4 Are the ship maintenance records kept properly? 10.2.4 Docking repair records (incl. items to be repaired at next docking)

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