Tanker Ship Manager Audit Questionnaire

Tanker Ship Manager Audit Questionnaire

Company:

Visit Date:

1. Attendees: Rank, background, etc.

a.
b.
c.
d.
e.
f.

2. Purpose:

To verify if Tanker Manager maintains the management level for the Trafigura fleet and at the Trafigura required level, based on: -

- TMSA-2, (OCIMF, Tanker Management Self-Assessment),

- ISO9001 (Quality management systems),
- ISO14000 (Environmental management systems, and
- OHSAS 18001 (Occupational Health and Safety Assessment)

and to improve safe of operation though best practice exchanges in order to qualify for the undertaking and/or continuation of TRAFIGURA
owned fleet's management

3. This is also to use as one of materials for an assessment of the shipmanager’s performance.
Period to be assessed is in one calendar year, from January 1st to December 31st.

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 Tanker Ship Manager Audit Questionnaire

4. Program
* TSVQ ... Tanker Ship-Manager Visit Questionnaire
Rating (5-1 ....; 5 ... 0utstading, 4 ... Excellent, 3 ... Satisfactory, 2 ... insufficient, 1 ... Lack /Poor/Problematic

A. ADMINISTRATIVE DATA G. CREW MANAGEMENT

B. DATA OF ANNUAL ACTIVITIES H. ADMINISTRATION AND COST MANAGEMENT
C. SAFETY MANAGEMENT SYSTEM I. COMMUNICATION BETWEEN SHIP-MANAGER AND TRAFIGURA
D. CARGO OPERATION J. REQUEST TO/ FROM TRAFIGURA (MTANK)
E. MAINTENANCE SYSTEM K. RECENT TOPICS, OTHERS ETC
F. TECHNICAL SUPPORTS TO A VESSEL / INSPECTION L. EMERGENCY FACILITY

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 Tanker Ship Manager Audit Questionnaire

*Following documents to be prepared/submitted in advance, either when competing or when annual office visit (Paper or Computer based) for our immediate
reference.

• Company Organization chart

• Fleet List
• SIRE vetting inspection data for past 3 years (Statistic data analysis). If you have experienced any technical hold from any oil major, please share details.
• Recent incident investigation analysis report
• PSC inspection data for past 3 years (Statistic data analysis)
• Latest Management of Change record, if any.
• Sample of SMS documents (1. Risk Assessment 2. Hot Work Permit 3. Enclosed Space Permit 4. Bunker Check list (including H2S checklist)
• Minutes of Management review committee
• PMS system. Especially, percentage of present outstanding item.

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 Tanker Ship Manager Audit Questionnaire

A. ADMINISTRATIVE DATA (ORGANIZATION CHART AND FLEET LIST SHOULD BE SUBMITTED IN ADVANCE)

Strong Point: Weak Point: Rating

1. COMPANY HISTORY
a. Year of establishment:
b. Background:
c. Any relation with oil company(ies) (oil majors):
d. Awards, distinctions awarded by industrial organizations or institutions etc.:
(Tanker Shipping & Trade Operational awards)
2. GROUP COMPANY

What facilities/ subsidiary companies do you have under your umbrella?

a. Manning Agent:

b. Training Facilities for seafarers:

C. others:

3. CREW RETENTION RATE

a. Crew Retention Rate of Senior Officers: 2019 % 2020 % 2021 %

b. Crew Retention Rate of Junior Officers: 2019 % 2020 % 2021 %

C. Crew Retention Rate of Ratings : 2019 % 2020 % 2021 %

d. Shore Staff Retention Rate : 2019 % 2020 % 2021 %

e. Explain how is the above crew retention rate monitored?

f. If a software is used, please provide the name of the software:

g. Does the company take measures to enhance retention rate? Explain briefly how this is instrumented:

* Random evidence of above statements should be readily available and be demonstrated during the office audit

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 Tanker Ship Manager Audit Questionnaire

B. DATA OF ANNUAL ACTIVITIES (KPls)

Strong Point: Weak Point: Rating
1. RECORDS OF TMSA AUDIT BY MAJORS IN PREVIOUS YEAR
a. Number of Office Audit by Oil Majors with the date and name of Majors.
:

b. Records of the Office Audit by Oil Major (Both Paper & Digital file)

* If TMSA data are not available, Trafigura may be required to send an auditor separately for TMSA full audit that needs 2.5 days in your office, which
kindly accept.
* Preferably the records should contain replies of the Shipmanager to the major.

c. Final Score of TMSA audit for last three years.

:
*Please attach self-check list prepared for TMSA audit, if any.

d. Which certificate is acquired? (Ex.ISO9001,14001,18001)

Last audit: (Name of certificate, date of audit, valid till.)

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 Tanker Ship Manager Audit Questionnaire

2. ANNUAL TARGET KPI AND THE RESULTS IN THE LAST 3 YEARS

Enter "Target" and "Result/ Achievement)"
Please give KPI results for the last three years. Random evidence of below results should be readily available to be demonstrated during office audit. For
example, Management review committee.
Auditors should confirm such evidence and take photo copy or picture for reference.
Result of year Result of year Result of year Result of year Result of year Result of year
Target for year 2021 (All Fleet 2021 2020 (All Fleet 2020 2019 (All Fleet 2019
ITEM Remarks, if any Rating
2022 under TM’s (Trafigura under TM’s (Trafigura under TM’s (Trafigura
management) Fleet) management) Fleet) management) Fleet)

a. Fatalities
b. Permanent Total Dis-
ability (PTD)
C. Permanent Partial
Disability (PPD)
d. Lost Time injury
frequency (L TIF)
e. Total recordable case
frequency (TRCF)
f. Oil Spills (details to be
provided)
g. Collision
h. Grounding
i. Fire
j. Other Accidents In-
cidents (including
Machinery Troubles)
k. Near Miss Incidents
l. Contact Fixed Structure
(e.g. buoy, jetty)

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 Tanker Ship Manager Audit Questionnaire

m. Average number of
USCG inspection
observations
i. USCG Detentions
n. Average number of
PSC inspection
observations
i. PSC Detentions
O. SIRE Inspections
i. Average # of
observations
ii. SIRE Inspection
Failures (loss of
approval or un-
successful SIRE)
iii. Oil Major Tech-
nical Holds
p. Supt visits per year
q. Ship visits by Senior
Management
r. PMS overdue jobs
(critical)
s. PMS overdue jobs
(non-critical) <
t. OPEX deviation
(monthly)
u. Negative Media
Coverage
V. Other Casualties, if
Any.

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C. SAFETY MANAGEMENT SYSTEM

Strong Point: Weak Point:
Descriptions Y N Rating
1. RESULTS OF STATISTIC DATA ANALYSIS FOR LAST YEARS
Data should be available for the following items (hard copies or
Digital files)
(Prepare in advance)
a. SIRE Vetting Inspection (observations per inspection) in the past
three years
2018 2019 2020
a. Accidents/Incidents (including Machinery Troubles)
b. Near Miss Incidents
c. PSC Inspection. (observations per inspection)
2018 2019 2020

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2. INCIDENT INVESTIGATION ANALYSIS

Data should be available for the following items (hard copies or Digital
files)

a. Has Incident investigation taken place in line with the Company

procedures for respective incidents or a casualty?
If yes, Prepare the record of investigation report for such an incident for
2020 or 2021. (Prepare in advance)
3. PSC-USCG
a. Is there any vessel detained during a PSC or USCG inspection in the
last 3 years?
If yes, Prepare the documented records of the RCA, the Corrective Ac-
tions and feedback (Prepare in advance)
4. STATISTIC DATA ANALYSIS FOR OIL MAJOR INSPECTION
a. Has a periodical (at least annual) analysis of the results of vetting
inspection been made through the statistics data and identified a weak
area of the company for improvement?

If yes, Prepare the above documents. (Prepare in advance)

b. Where a vessel failed to obtain approval of an oil major (see point o. ii
above) prepare documented records of the RCA, the Corrective Ac-
tions
c. Where company has experienced a technical hold of an oil-major,
prepare the records of actions taken to release the hold.

(Prepare in advance)

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 Tanker Ship Manager Audit Questionnaire

5. EMERGENCY PREPAREDNESS
a. Has the Emergency response plans (Contingency Plan) been reviewed
through the Lessons learnt from the casualties, documented
and or revised?

b. Do the conduct of emergency exercises more than 4 times include

the above type of the casualty (ies )?
6. MANAGEMENT OF CHANGE (1)
a. Does the company have newly acquired vessels entering into the
fleet ownership/management in a recent year?

b. State also maximum number of ships acquired in a given period

If Yes, Prepare the records (MoC)
(Prepare in advance)
7. MANAGEMENT OF CHANGE (2)

a. Does the company experience a major change of shore organization

in the last 5 years?

If Yes, Prepare the records (MoC)

(Prepare in advance)

(*The record of management of change available for a detailed review of the

impact on the organization and on the management system). (TMSA? – 4 - 2)

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8. MEASUREMENT, ANALYSIS AND IMPROVEMENT

a. The result of office audit by 3rd party (ex. TMSA, or TRAFIGURA) is
properly reviewed internally and helpful for your consecutive
improvement? If yes, please show the record of review of audit.

b. Does company have policy to inspect all the vessels in management

using a format/checklist that is at least equivalent to the vessel
inspection reports issued by industry bodies such as OCIMF?
(TMSA 12-2-1)

c. Does the company regularly compare its own inspection results with
the results of inspections conducted by third parties? Where there
are consistent anomalies, the company reviews and improves its
vessel inspection process. (TMSA 12-3-1)

d. Internal audit (Both for Office and Vessels) is effectively functioning?

9. WORK PERMIT & RISK ASSESSMENT

a. Are there SMS respective documents to cover the following cases?

Prepare same for recent cases, onboard either a Trafigura or other owners'
vessels
(Prepare in advance)

i. Risk Assessment
ii. Hot Work Permit
iii. Enclosed Space Permit
iv. Bunker Check list (including H2S checklist)

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 Tanker Ship Manager Audit Questionnaire

10. BEST PRACTICES

a. Is Safety best practice identified on individual vessels transferred

across the fleet? (TMSA 9A-3-1)

b. Is there a norm (=quota) for number of reporting best practices?

11. MANAGEMENT REVIEW MEETING

a. Are there any regular meetings in the office for communication exchange
amongst each department and/or section?

b. Report for the SMS reviews on board ship and office reviews used for
shore management review.

c. Minutes for above regular meeting?

If yes, Prepare the minutes. (Prepare in advance)

d. Is there any feedback to improve the system?

12. HSEQ ACTIVITY

a. Do your fleets adopted following HSEQ activities? If yes, please

show the SMS procedure for them.
• BBS (Behaviour Based Safety)
• Stop Card / Stop work Authority
• Just Culture
• Resilience

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 Tanker Ship Manager Audit Questionnaire

D. CARGO OPERATION
Strong Point: Weak Point:
Descriptions Y N Rating
1. TANK CLEANING MANUAL (For Chemical/ Product Tanker)
a. Is the company referring to an industry generic tank-cleaning guide?
(e.g. Dr Verwey, CAPIS, Miracle, BP, Shell ... )?

b. Any cleaning consultant. Please provide details

c. Does the company give guidance regarding tank spraying with

chemicals.

d. Does the company recommend re-circulation cleaning? (Methanol,

or any other Solvent Butterworth Policy?)

e. Does the company have a procedure to use TC-Chems/ additives?

(TMSA2 Element 6)

2. TANK CLEANING PROCEDURE (For Chemical/ Product Tanker)

a. Has the company experienced failure(s) of tank inspection before

loading?

b. Did an investigation take place for the failure of tank inspection and
documented?

c. Have the corrective actions been implemented according to the

results of the investigation that includes change of "procedure"
and/or adding new/revised "Training for the crew'' and/or the other
permanent solution to prevent recurrence?

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 Tanker Ship Manager Audit Questionnaire

E. MAINTENANCE SYSTEM
Strong Point: Weak Point:
Descriptions Y N Rating
1. MAINTENANCE POLICY & MANUAL

a. Does the company have following maintenance policy & manual?

i. M/E & Aux machinery (including lubricating oil analysis, boiler
water monitoring, cathodic protection records, fuel oil analysis etc.)
ii. Cargo Equipment
iii. Navigation & Radio Equipment
iv. Hull & Tank
v. Certificates I Document
vi. Etc.
b. Are you all fleets already adopted PMS?
c. Does the company evaluate the system on its content and
effectiveness?

2. CRITICAL EQUIPMENT
a. Are critical equipment and systems are identified within the SMS?

b. Are critical equipment and systems recorded in the ship's planned

maintenance system? (TMSA2 Element 4a-1)

c. Is maintenance on critical equipment and systems requiring them to

be taken out of service subject to risk assessment and management/
owner’s approval? (TMSA2 Element 4a.2.1). Provide documented
evidence of last 3 service reports.

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 Tanker Ship Manager Audit Questionnaire

Descriptions Y N Rating
3. COMPUTER-BASED PLANNED MAINTENANCE SYSTEM

a. Is there a common, computer-based planned maintenance system

on board each vessel?

b. Is staff trained in the use of the PMS?

c. Does the maintenance and defect reporting system automatically

alert the person responsible for shipboard maintenance on board
and ashore when it becomes due?

d. Is there a fleet-wide system to track outstanding maintenance and

defect items?

e. What's the system being used?

✓ AMOS-D
✓ SHIP NET
✓ IHIADMAX
✓ OTHERS

f. Is it approved by Class? for system, or for each ship

(TMSA2 Element 4-3)

g. Does company have on-board spare parts inventory system based

on critical equipment evaluation or hazard-identification studies?

h. Its system incorporated into PMS?

(Applicable for the Ship manager of TRAFIGURA owned vessels)

i. Are the latest TRAFIGURA Tanker Maintenance Policies or circu-
lars updated in the PMS?

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 Tanker Ship Manager Audit Questionnaire

Descriptions Y N Rating
4. IMPLEMENTATION

a. How many percent (%) of outstanding planned maintenance tasks

of non-critical equipment for individual vessels and the fleet as a
whole:
If yes, Prepare the outstanding report. (Prepare in advance)
(TMSA2 Element 4b)

5. DOCKYARD

b. Does the company have any procedure to select drydock yards?

c. Does the company evaluate Shipyards for drydocking and is that

documented?

d. Do you have experience to change maintenance policy caused by

dock work result? If any, please show the record. (Contents of
change and reason why).

e. Sample DD specification stating how early is submitted to owners

for review before intended DD date

6. DRYDOCK REPORT
a. Were Dock Reports submitted to Ship's Owner at the right time in
accordance with TRAFIGURA's or other owners' instructions?
b. Is there individual defect list?

*Defect List/Outstanding items to be rectified within next dry-dock: List for

maintenance requirements to be solved in next dock, annual service etc.

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7. OUTSTANDING COC
Descriptions Y N Rating
a. Does the company ensure that condition-of-class (CoC) items are
dealt with as soon as is practicable and that shore management
monitors them?
b. Is there a list of COC for TRAFIGURA owned tankers?

8. VOYAGE CLEANER/ OR REPAIRS (RIDING SQUADS)

Is there any of the following criteria within the research prior to appointing a
riding squad?
c. reasonable cost,
d. arranging Source
e. How does the company ensure their quality?

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 Tanker Ship Manager Audit Questionnaire

F. TECHNICAL SUPPORTS TO A VESSEL/ INSPECTION

Strong Point: Weak Point:
Descriptions Y N Rating
1. ENGINE OPERATION

a. Is there any ENGINE Performance/output management for every

vessel?
Ex.) MCR, Thermal Load, SSS
2. TECHNICAL INFORMATION

a. Are there all relevant publications, regulation booklets and instruction

manuals available in the office?

3. SUPERINTENDENT TECHNICAL MANAGEMENT

a. Does the company set a policy of maximum number of the vessels

for one Superintendent? State Maximum number:

b. Is there any ship visit interval policy for SI? How many times a year?
When issues or damages arise, does SI immediately visit the ship?

c. Is there any Matrix for Tech Supt.? (ex. How long experienced C/E,
give SI training course etc.)

d. Is there any policy or standard to train SI?

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G. CREW MANAGEMENT
Strong Point: Weak Point:
Descriptions Y N Rating
1. CREW MANAGEMENT

a. In case ship's safety operation cannot be maintained due to shortage

or any other personnel problem, does the company request ship's
owners to take action on countermeasures?

b. Did you have any changes of ship staff composition (Nationalities) in

last one year? If yes pls provide details

c. Is there any policy to keep crew met to the Oil majors (Tasweeq)
crew matrix requirement? (TMSA 2 Element 3)

2. CREW COMPETENCY

a. Are the minimum experience and competency requirements for each

rank documented?

b. Are there established company criteria for promotion?

3. REST HOUR MANAGEMENT (FATIGUE CONTROL)

a. Are there any records of the minimum rest period and working hours
(MLC2006) for each crew?

b. Contract Periods (Senior, Junior, Petty officer and Rating)

c. Are there records of Non-Conformity on Rest Hour Management?

Please provide documentation for last 3 NCs raised

d. How does the company deal with such NC(s)?

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Descriptions Y N Rating

4. BRIEFING (DE-BRIEFING) RECORD

a. Are there records of briefing and debriefing of the crew?

5. CREW TRAINING SCHEME

a. Does the company possess a training policy for crew on tankers?

b. What training courses does the company provide or intend to

provide for the crew on TRAFIGURA Tankers?

c. Is there any system of the company that monitors that all crew
receive the necessary training in line with the company training
policy?

d. Does the company provide Video and/or CBT training courses?

e. Name of provider:

f. Does the company provide a certain tanker training course for

step up of the crew on tankers (such as e-TOTS recommended
by INTERTANKO)?

g. Does the company provide an approved LPG tanker training

course fin line with SIGTTO recommendation? (for companies
managing LPG Tankers)

h. Do you hold crew conference more than 2times a year?

6. CREW WELFARE

a. Does the company have a policy of the crew's family welfare?

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 Tanker Ship Manager Audit Questionnaire

H. ADMINISTRATION AND COST MANAGEMENT

(Applicable for the Shipmanager of TRAFIGURA owned vessels)
Strong Point: Weak Point:
Descriptions Y N Rating Comments

1. TRAFIGURA ACCOUNTING INSTRUCTION

a. Does person in charge understand TRAFIGURA's Budget structure
and standing instructions / Reporting formats?

2. BUDGET MANAGEMENT
a. Do you have the procedure for setting and amending budgets?

b. How are extraordinary budget requests resolved?

c. Do you review the actual cost vs budget often and update vessel
owner regularly?

d. Are explanations provided to owner for any budget variations? If so

how often?

3. COST SAVING EFFORT

a. What efforts have being made to reduce expenses in the following

categories on either a Trafigura vessel or a 3"' owners' vessel?
 For Crew
 Ship Supplies
 For General expenses
 Preventive Maintenance

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Descriptions Y N Rating Comments

4. AGENT FOR SHIP'S STORE SUPPLIER

a. Does the company have contract with a company for shore / parts
supplier? Name:

b. How do you evaluate their performance?

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 Tanker Ship Manager Audit Questionnaire

I. COMMUNICATION BETWEEN SHIP- MANAGER AND

TRAFIGURA
(Applicable for the Shipmanager of TRAFIGURA owned vessels)
Strong Point: Weak Point:
Descriptions Y N Rating Comments

1. DISTRIBUTION OF THE LETTERS

a. Does person in charge understand TRAFIGURA's Budget structure
and standing instructions / Reporting formats?

a. Does the company surely distribute all TRAFIGURA circulars

addressed to Masters of vessels?

2. SHIP MANAGEMENT REPORT AS PER TRAFIGURA'S

REQUIREMENTS

a. Were monthly, quarterly, Semi-Annual and annual Reports [Ship

Management Report] submitted to TRAFIGURA at the right time in
accordance with TRAFIGURA's instructions?

3. DEFICIENCY AND REPORTING OF VISITS AND DEFICIENCY

REPORTS

a. Does the company report via Annual or other Reports [Ship Visit
Report] openly deficiencies and problems existing on a ship together
with the plans to solve them?

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 Tanker Ship Manager Audit Questionnaire

J. REQUEST TO/ FROM TRAFIGURA

(Applicable for the Shipmanager of TRAFIGURA owned vessels)
Strong Point: Weak Point:
Descriptions Y N Rating Comments
1. REQUESTS FROM/ TO TRAFIGURA

a. Annual Ship Inspection

b. Annual office visit
c. SIRE Data (Observations & comments) in a digital file using
OCIMF'S format
d. PSC Data (Observations & comments) in a digital file using PSC or
USCG formats
e. High Risk Area of Piracy reports
2. REQUESTS FROM MANAGERS TO BE REFLECTED ONTO
TRAFIGURA NEW BUILDING VESSELS BSS MANAGER'
EXPERIENCE AND GOOD SEAMANSHIP

a. Hull structure (including piping arrangement):

b. Safety equipment:
c. Accommodation:
d. Layout of navigation instruments:
e. Engine:

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K. RECENT TOPICS, REGULATIONS

Strong Point: Weak Point:
Descriptions Y N Rating Comments
1. NEW RULE/INSTRUCTION

a. Preparedness for the following equipment and topics.

i. Ballast Water Treatment systems
ii. ECA restriction (Modification of FO Tank/ piping)
iii. Mandatory ECDIS equipment.
iv. Tier Ill engines SCR (LP/HP) technologies
v. Exhaust Gas Cleaning Systems
vi. Dual Fuel engines

L. EMERGENCY FACILITY
Strong Point: Weak Point:
Descriptions Y N Rating Comments
1. EMERGENCY HEADQUARTER ROOM

Do you have own back up office for emergency preparedness?

If yes, following infrastructures are ready for use?
a. IT System
b. Hotline
c. Equipment for overnight watch
d. Office worker could accommodate over night? (Bed, Blanket Shower
etc.)

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 Tanker Ship Manager Audit Questionnaire

Company Representative

Tanker Safety Management Office - TRAFIGURA Tanker Safety Management Office -

TRAFIGURA
Visitor: Visitor:

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