Company Policy and Procedures by hgh19249

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									     AWO Responsible Carrier Program Audit Checklist
     Section I: Management Assessment Questionnaire


     Table of Contents

1.   Introduction and Company Overview

2.   Safety Policy and Program

3.   Company Security Policy

4.   Environmental Policy and Program

5.   Company Employee Responsibilities and Authorities

6.   Resources and Personnel

7.   Plans and Procedures for Vessel Operations

8.   Emergency Preparedness

9.   Reporting and Analysis of Accidents

10. Maintenance of Vessels

11. Internal Auditing

12. Document Control




                                                         Revised 05/09
            RCP Audit Management Assessment Checklist
1. Introduction and Company Overview
  1   Company Particulars:

Company name / address:




Company phone number:

Company fax number:

  2   Names and titles of persons participating in this audit:




  3   Briefly describe the marine service provided to various customers:




      Briefly describe the nature of equipment and area of operations:
  4
      Indicate: Coastal ____ Great Lakes____Inland ____ Harbor ____ Dry ____ Liquid




                                                       -1-                            Revised 05/09
               RCP Audit Management Assessment Checklist
1. Introduction and Company Overview (Continued)
  5   Vessel Operations:

      Number of vessels owned or bareboat chartered in by company
      Barges
      Towboats/Tugboats

      Number of vessels chartered in by company and operated with non-employees
      Barges
      Towboats/Tugboats

      Approximate percentage of in-chartered vessels operated by non-employees that
      comply with the provisions of the Responsible Carrier Program

      Approximate number of company vessel employees

      Number of shore-based employees



                                                                                        Y     N
      Attach an organizational flow chart depicting key individuals and their general
      in the company (If not available, please check "N")                               Attached?

      Prepared By:
  6



      Name of auditor(s):



      Title:

      Company:

      Address:



      Phone:

      Signature(s):

      Date:




                                                          -2-                                       Revised 05/09
      RCP Audit Management Assessment Checklist
2. Safety Policy and Program                                                                   Yes   No
  1   Does a written company safety policy exist? (RCP II-B-1)
      Does the policy include accountablity and commitment to safety (RCP II-B-1a)
      Is the policy simple and well documented?
      Does the policy identify management commitment?
      Does the policy identify personal employee responsibilities?
      Does the policy place safety as a high priority?
      Is the policy well known and understood by employees? (ask several employees)

      Does a safety program/safety rules exist within the company? (RCP II-B-2)
  2
      Does the safety program/safety rules include:
        Painting in enclosed spaces (RCP II-B-2a)
        Non skid surfaces on motor vessels (RCP II-B-2b)
        Flammable and combustible liquids (RCP II-B-2c)
      Is there a safety manual?
      Is the safety manual a subset of another manual or publication?
      Is the safety manual easily available to any employee?
      Does the manual reflect current practices and technology? Date of last revision:

  3   Does the safety program include:
      Personal protective equipment (PPE) policy? (RCP II-B-3)
      Respiratory protection and fall arrest protection? (RCP II-B-3a)
      Use, inspection, maintenance, replacement of PPE? (RCP II-B-3a,b,c,d)
      Does the company require critical PPE for employees (e.g., PFDs, hard-hats, eye
      protection, respirators, gloves)?

  4   Does the safety program address:
      Reporting of safety deficiencies and/or nonconformities? (RCP II-B-4)
      Corrective action process? (RCP II-B-8)
      Confined space entry? (RCP II-B-5)
      Safe use of:
         Deck machinery? (RCP II-B-7a)
         Rigging? (RCP II-B-7b)
         Welding and/or cutting equipment? (RCP II-B-7c)
         Hand tools? (RCP II-B-7d)
         Ladders? (RCP II-B-7e)
         Abrasive wheel machinery? (RCP II-B-7f)
      Safe use of rigging (wires, ropes, chains, shackles, ratchets, winches)? (RCP III-E-1)
      Cargo knowledge? (RCP II-B-9)
      Hazard communication procedures (Right to Know)? (29 CFR 1910.1200) (RCP II-B-10)
      Bloodborne pathogens? (RCP II-B-10a)
      Benzene handling policy? (RCP II-A-7a)
      Fall overboard prevention? (RCP II-B-8)
      Hearing conservation? (RCP II-B-1b)

  5   Crew Endurance Management:
      Is the company familiar with the USCG - AWO Safety Partnership, Crew Endurance
      Management System (CEMS)?
      Has the company begun to incorporate elements of CEMS into their vessel
      operations?
      Does the company have one or more trained CEMS coaches?
      Does the company have a CEMS Working Group?
      Have crews made any modifications to their watch schedules

                                                           -3-                                        Revised 05/09
      RCP Audit Management Assessment Checklist
2. Safety Policy and Program (Continued)                                                Yes   No
  6   Does the safety program include:
      Regular safety training (RCP II-B-6b)
      Regular safety drills (RCP II-B-6b)
      Regular safety meetings (RCP II-B-6b)
      Use of vessel station bills (RCP II-B-6)
      Do safety drills and training cover critical components such as: (RCP II-B-6a)
       First aid/CPR (RCP II-B-6a)
       Firefighting (RCP II-B-6a)
       Emergency boat operation (RCP II-B-6a)
       Use of life rafts (if applicable) (RCP II-B-6a)
       Survival suits (if applicable) (RCP II-B-6a)

  7   Indicate frequency of safety meetings: (monthly, weekly, etc.)


  8   Indicate frequency of safety training and drills: (monthly, weekly, etc.)


  9   Identify any additional noteworthy company-specific safety policies and
      procedures: (Attach additional sheets if necessary)




 10   Summary of safety program observations: (Attach additional sheets if necessary)




 11   Areas for improvement: (Attach additional sheets if necessary)




                                                             -4-                               Revised 05/09
           RCP Audit Management Assessment Checklist
3. Company Security Policy                                                               Yes   No
 1   Does a company security policy exist? (RCP II-C-1)
     Is the policy simple and well documented?
     Is the policy well known and understood by employees? (ask several employees)
     Does the security policy include:
       Periodic security training?
       Periodic security drills?
       Emergency communications and notification?
       Compliance with official instructions?
       Reporting of suspicious activities?

     Identify any additional noteworthy company-specific security policies and
 2
     procedures: (Attach additional sheets if necessary)




 3   Summary of security program observations: (Attach additional sheets if necessary)




 4   Areas for improvement: (Attach additional sheets if necessary)




                                                             -5-                                    Revised 05/09
            RCP Audit Management Assessment Checklist
4. Environmental Policy and Program                                                       Yes   No
  1   Does a company environmental policy exist? (RCP II-D-1)
      Is the policy simple and well documented?
      Is the policy well known and understood by employees? (ask several employees)
      Do readily identifiable procedures exist to support the policy?
      Do these procedures include:
        Garbage disposal (RCP II-D-2)
        Handling of waste oil, oily bilge slops, and used filters (RCP II-D-3)
        Hazardous waste disposal and handling (RCP II-D-4)
        Sanitary systems and handling of sewage (RCP II-D-5)

      Identify any additional noteworthy company-specific environmental policies
  2
      and procedures: (Attach additional sheets if necessary)




  3   Summary of environmental program observations: (Attach additional sheets if necessary)




  4   Areas for improvement: (Attach additional sheets if necessary)




                                                             -6-                                     Revised 05/09
               RCP Audit Management Assessment Checklist
5. Company Employee Responsibilities and Authorities                                               Yes No
      Are organizational levels clearly documented or defined in an organizational
  1
      chart? (RCP II-I-1)
      Is the authority of all shoreside personnel clearly documented and defined? (RCP II-I-1)
      Is the authority of all vessel personnel clearly documented and defined? (RCP II-I-1)
      Are the responsibilities of shoreside personnel clearly documented and defined? (RCP II-I-
      Are the responsibilities of vessel personnel clearly documented and defined? (RCP II-I-1)
      Is there a designated person(s) ashore having direct access to the highest level of
      management (Designated Person)? (RCP II-I-2)

  2   Identify any additional noteworthy employee responsibilities and authorities:




  3   Summary of company responsibilities and authorities observations:




  4   Areas for improvement:




                                                          -7-                                        Revised 05/09
                 RCP Audit Management Assessment Checklist
7. Plans and Procedures for Vessel Operations                                                Yes     No
      Does the company have vessel operating procedures that are well documented
  1
      and distributed? (RCP II-A-1)
      Bridge transit procedure (RCP II-A-1a)
      For vessels operating on coastal routes, voyage planning procedure (RCP II-A-1b)
      Other possible examples include:
       Change of watch
       Guests and other visitors
       Vessel communications with shore personnel
       Bridge-to-bridge communications
       Radio watch
       VTS usage requirements
       Locking procedures
       Skiff/yawl use and operation
       Lock-out/tag-out
       Confined space entry
       Navigation
       Making up tow

  2   Do procedures exist for making horsepower-to-tow size decisions? (RCP II-A-2a)

  3   Do procedures exist for cargo handling?
      Vessel-to-vessel lightering (RCP II-A-8)
      Vapor control (RCP II-A-7b)
      Cargoes requiring special handling (e.g., anhydrous ammonia, hydrogen sulfide, etc.)
      (RCP II-A-7c)
      What noteworthy cargoes are covered by these procedures?


      Do procedures exist to ensure that proper and valid documentation is carried
  4
      aboard vessels? (RCP II-A-3)
      Does the procedure include a list of documentation to be carried? (RCP II-A-3)

  5   Do procedures exist for identifying critical stores and supplies? (RCP II-A-9)

  6   Do procedures exist for loading vessel fuel? (RCP II-A-4)
      Transferring fuel to barges or other vessels
      Cargo transfer/cargo handling (RCP II-A-7)

      Do procedures address safe use and handling of rigging and towing gear? (RCP III-E-
  7   1)


  8   Do procedures address safe use of deck machinery such as: (RCP III-E-1)
      Capstans
      Winches

      Is there a documented inspection and replacement program for rigging and towing
  9
      gear? (RCP III-E-3 & RCP IV-E-6)
      Are specifications for wires, lines, and associated towing gear documented?
      (RCP III-E-4 & RCP IV-E-1, -2, -3)
      Are there minimum rigging and towing gear requirements for each vessel according to
      service? (RCP III-E-2 & RCP IV-E-1a)
      Are the minimum requirements documented?



                                                       -13-                                        Revised 05/09
       RCP Audit Management Assessment Checklist
7. Plans and Procedures for Vessel Operations (Continued)
       Identify any other noteworthy vessel-specific operating procedures (depends on
  10
       vessel size, cargo, trade, etc.) (RCP II-A-2)




How are these procedures communicated to the vessel's crew?




  11   Summary of vessel operating plans and procedures observations:




  12   Areas for improvement in vessel operations plans and procedures:




                                                      -14-                              Revised 05/09
                     RCP Audit Management Assessment Checklist
6. Resources and Personnel
Hiring                                                                                                   Yes   No
  1   Does the company have a documented hiring policy? (RCP II-J-1)
      Does the company have procedures for hiring qualified personnel?

      Do the hiring practices include physical exams or physical standards policy?              (RCP
  2   II-J-2)


  3   Does the hiring policy include drug screening? (RCP II-J-3) (46 CFR 16.210)

Orientation Program
      Does the company have a documented employee orientation program?                 (RCP V-C-1,-2,-
  1   3,-4 and -5)
      Is the program applicable to all new hires, including experienced personnel?
      (RCP V-C-1,-2,-3,-4 and -5)


  2   Does the orientation include: (RCP V-C-5a)
      Drug and alcohol policy requirements (RCP V-C-5a-1)
      Exposure and understanding of the company safety program and policy (RCP V-C-5a-2)
      Safety as a condition of employment (RCP V-C-5a-2)
      Safety equipment and PPE requirements (RCP V-C-5a-4)
      Injury prevention, including back training and slip, trip and fall prevention (RCP V-C-5d)
      Vessel orientation and deck operations (RCP V-C-5a-3)
      Job responsibilities (RCP V-C-5a-5)

  3   Does the orientation include exposure to emergency procedures?             (RCP V-C-5b)
      Fire response (RCP V-C-5b-1)
      Collision or allision (RCP V-C-5b-2)
      Sinking (RCP V-C-5b-3)
      Grounding (RCP V-C-5b-4)
      Man overboard (RCP V-C-5b-5)
      Personal injury (RCP V-C-5b-6)

  4   Does the orientation address confined space hazard awareness? (RCP V-C-5c)

      Briefly describe how the orientation program is conducted (classroom, on-the-job
  5
      training, other):




Training                                                                                                 Yes   No
  1   Does the company have a training program? (RCP V-C)
      Does the program identify:
       Who is trained
       Subjects in which training is given
       Frequency of training
       Documented refresher training (at least every five years)




                                                             -8-                                               Revised 05/09
        RCP Audit Management Assessment Checklist
6. Resources and Personnel (Continued)
Does the training program include the following positions and components:
Deck Crew                                                                                                Yes   No
   1   Does the company have initial and refresher training for: (RCP V-C-4)
       Deck operations and safety training (RCP V-C-4a)
       Company policy and procedure orientation (RCP V-C-4b)
       Review of federal requirements and company conformance (RCP V-C-4b)
       Vessel firefighting and fire prevention (RCP V-C-4c)

   2    Personal safety (RCP V-C-4d)
        First aid and CPR awareness (RCP V-C-4d-1)
        Confined space hazard awareness (RCP V-C-4d-2)
        Injury prevention, including back training and slip, trip and fall prevention   (RCP V-C-4d-3)


        Lock-out/tag-out procedures (RCP V-C-4d-4)

   3    For tank barge tows: First responder and spill mitigation training        (RCP V-C-4e-1)


   4    Do experienced deckhands, as well as new hires, receive the above training?

   5    Identify any other noteworthy training topics for deck crew:




Tankerman                                                                                                Yes   No
   1   Does the company have initial and refresher training in: (RCP V-C-3)
       Tank barge safety training (RCP V-C-3a)
       Loading and discharging operations (RCP V-C-3a-1)
       Safety practices (RCP V-C-3a-2)
       Environmental protection and loading procedures (RCP V-C-3a-3)
       Federal regulation review and training (RCP V-C-3a-4)
       First responder, spill mitigation, and emergency response (may include HAZWOPER
       training) (RCP V-C-3a-5)
       Vapor recovery operations (RCP V-C-3a-6)

   2    Company policy and procedure orientation (RCP V-C-3b)
        Review of federal requirements and company conformance         (RCP V-C-3b)


   3    Marine firefighting and fire prevention (RCP V-C-3c)

   4    Personal safety (RCP V-C-3d)
        First aid and CPR awareness (RCP V-C-3d-1)
        Confined space hazard awareness (RCP V-C-3d-2)
        Injury prevention, including back training and slip, trip and fall prevention   (RCP V-C-3d-3)
        Cargo-specific training (RCP V-C-3d-4)

   5    Vessel communications system and procedures (RCP V-C-3e)

   6    Identify any other noteworthy training topics for tankermen:




                                                                -9-                                            Revised 05/09
         RCP Audit Management Assessment Checklist
6. Resources and Personnel (Continued)
Engineer                                                                                                    Yes   No
  1    Does the company have initial and refresher training in: (RCP V-C-2)
       Marine diesel school or in-house training, including equipment and technical
       enhancements (RCP V-C-2a)
       Does training for engineers include procedures for fuel transfer?

   2     Company policy and procedure orientation (RCP V-C-2b)
         Review of federal requirements and company conformance (RCP V-C-2b)

   3     Marine firefighting and fire prevention (RCP V-C-2c)

   4     Personal safety, including: (RCP V-C-2d)
         First aid and CPR awareness (RCP V-C-2d-1)
         Confined space hazard awareness (RCP V-C-2d-2)
         Injury prevention, including back training and slip, trip and fall prevention   (RCP V-C-2d-3)
         Lock-out/tag-out procedures (RCP V-C-2d-4)

   5     For tank barge tows: First responder and spill mitigation training         (RCP V-C-2e-1)


   6     Do experienced engineers as well as new hires receive the above training?

   7     Identify any other noteworthy training topics for engineers:




Master (Captain), Relief Captain, Mate (Pilot)                                                              Yes   No
  1     Does the company have initial and refresher training in: (RCP V-C-1)
        Responsibility and authority of Master (RCP V-C-1h)
        Supervisory skills training (RCP V-C-1h)
        Radar training (RCP V-C-1a)
        Navigation and boat handling training or proficiency evaluation (RCP V-C-1b)
        Rules of the Road refresher training (RCP V-C-1b)
        Company policy and procedure orientation (RCP V-C-1c)
        Federal requirements and company conformance (RCP V-C-1c)
        Marine firefighting and fire prevention (RCP V-C-1d)

   2     Personal safety (RCP V-C-1e)
         First aid and CPR awareness (RCP V-C-1e-1)
         Confined space hazard awareness (RCP V-C-1e-2)
         Injury prevention, including back training and slip, trip and fall prevention   (RCP V-C-1e-3)


   3     For tank barge tows:
         First responder, spill mitigation training, and emergency response orientation      (may include
         HAZWOPER training) (RCP V-C-1f-1)
         Benzene awareness training and entry precautions (where applicable) (RCP V-C-1f-2)
         Cargo knowledge and hazard awareness (RCP V-C-1g)

   4     Identify any other noteworthy training topics for wheelhouse personnel:




                                                                -10-                                              Revised 05/09
      RCP Audit Management Assessment Checklist
6. Resources and Personnel (Continued)
Employee Development                                                                                    Yes   No
      Does the company have personnel development programs for vessel personnel?
  1   (RCP II-J-6)
      Does the program target the following positions:
       Deckhands (RCP II-J-6a)
       Tankermen (RCP II-J-6b)
       Engineers (RCP II-J-6c)
       Wheelhouse personnel (RCP II-J-6d)

Proficiency Evaluations
      Does the company have a documented employee proficiency evaluation program?
  1   (RCP II-J-4)
      Does the program require documented and individual employee evaluations?
      Does the program provide for feedback to the employees?

Other Personnel Policies
  1   Does the company have a documented drug and alcohol policy?           (RCP II-J-3)


      Does the company have a documented prescription medication policy?             (RCP II-J-7)
  2

  3   Does the company have a documented personal hygiene policy?    (RCP II-J-8)


      Does the company have a documented sanitation and safe food handling policy?         (RCP II-J-
  4   9)


  5   Does the company have a documented disciplinary policy? (RCP II-J-10)
      Does the policy identify behavior under which termination or suspension may occur?

  6   Identify any other noteworthy personnel policies and procedures:




Watchstanding and Work Hours (Non-Emergency)                                                            Yes   No
      Does the company broadly communicate work hour restrictions to employees?
  1   (RCP V-B)
      Does the company have a mechanism to track or confirm this communication?
      Except as otherwise provided, such as 46 USC 8104(c), do licensed vessel operators
      work no more than 12 hours in a 24-hour period? (RCP V-B) (46 USC 8104(h))
      Do other vessel crewmembers work no more than 15 hours in a 24-hour period and no
      more than 42 hours in a 72-hour period? (RCP V-B)

Vessel Manning Levels                                                                                   Yes   No
  1   Do vessel manning policies reflect: (RCP V-A-1)
      Applicable laws and regulations (RCP V-A-1a)
      Number, size, and type of barges to be towed (RCP V-A-1b)
      Geographical towing route (RCP V-A-1c)
      Safety of personnel, equipment, environment (RCP V-A-1d)
      Service in which tow is engaged (RCP V-A-1e)
      Duties of the crew in addition to navigation (RCP V-A-1f)
      Configuration of vessel-deck and engine room machinery (RCP V-A-1g)




                                                         -11-                                                 Revised 05/09
      RCP Audit Management Assessment Checklist
6. Resources and Personnel (Continued)                                         Yes   No
      Extent of mechanical automation (RCP V-A-1h)
      Vessel sizes and machinery operating requirements (RCP V-A-1i)
      Environmental, weather, and climatic conditions (RCP V-A-1j)
      Overall experience of crew (RCP V-A-1k)

      Is one wheelhouse person and one crewmember on duty at all times while
  2
      underway? (RCP V-A-2)

  3   Summary of human resources and personnel program observations:




  4   Areas for improvement in human resources and personnel:




                                                         -12-                        Revised 05/09
             RCP Audit Management Assessment Checklist
8. Emergency Response Procedures                                              Yes   No
  1   Do company emergency response procedures exist? (RCP II-F)
      Are these procedures simple and well documented?
      Are these procedures well known and understood by affected employees?

  2   Do emergency response procedures include:
      Injuries and illness onboard (RCP II-F-1)
      Injuries and illness requiring more than onboard emergency first aid

  3   Do emergency response procedures include:
      Spill response plan and/or contingency plan (RCP II-F-2)
      Spill response emergency numbers
      Emergency response team
      Spills on deck during cargo transfer
      Spills in the water during cargo transfer
      Spills due to a grounding

  4   Do emergency response procedures include:
      Vessel accident response (RCP II-F-3)
      Collision with another vessel
      Allision with an aid-to-navigation or other fixed object

      Do procedures specify frequency, documentation, and subject matter of
  5
      onboard emergency response training and drills: (RCP II-F-4)
      Grounding drill
      Fire drill
      Sinking drill
      Man overboard drill

  6   Do emergency procedures include:
      Operator incapacitation (RCP II-F-5)
      Are appropriate crewmembers trained in vessel control procedures?
      Are crewmembers familiar with notification procedures?

  7   Identify any additional noteworthy emergency response procedures:




  8   Summary of emergency response program observations:




  9   Areas for improvement:




                                                           -15-                          Revised 05/09
                RCP Audit Management Assessment Checklist
9. Incident Investigation/Review                                                                        Yes No
  1   Personal Injury Reporting (RCP II-E-1)
      Are there procedures for reporting personal injuries as required by the USCG?
      Is a routing list or communication flow chart present?
      Are the responsibilities for reporting personal injury clearly defined for vessel crew and
      office personnel?
      Are the personal injury reporting procedures consistent with emergency response
      procedures?

  2   Oil and/or Hazardous Substance Spill Reporting (RCP II-E-2)
      Are there procedures for reporting oil/hazardous substance spills?
      Are the responsibilities for reporting oil or hazardous substance spills clearly defined for
      vessel crew and office personnel?
      Is an explanation of procedures for reporting oil or hazardous substance spills available to
      the vessel crew?
      Is a routing list or communications flow chart available?
      Is oil and/or hazardous substance spill reporting criteria easily accessible?
      Are spill reporting procedures consistent with spill emergency response procedures?

  3   Vessel Casualties Reporting (RCP II-E-3)
      Are there procedures for reporting vessel accidents as required by the USCG?
      Are the responsibilities for vessel accident reporting clearly defined for vessel crew and
      office personnel?
      Is a listing of all reportable vessel accidents available?
      Is a routing list or communication flow chart available?
      Is vessel accident reporting criteria easily accessible?
      Are vessel accident reporting procedures consistent with vessel accident emergency
      response procedures?

  4   Bridge, Lock or Dock Allision Reporting (RCP II-E-4)
      Are there procedures for reporting bridge, lock, or dock allisions as required by the
      USCG? responsibilities for reporting bridge, lock, or dock allisions clearly defined for vessel
      Are the
      crew and office personnel?
      Is a routing list or communication flow chart available?
      Is reporting criteria for bridge, lock or dock allisions easily accessible?
      Are reporting procedures for bridge, lock or dock allisions consistent with vessel
      emergency response procedures?

  5   Report of Grounding (RCP II-E-5)
      Are there procedures for reporting groundings as required by the USCG?
      Are the responsibilities for reporting groundings clearly defined for vessel crew and office
      personnel?
      Is a routing list or communication flow chart available?
      Is reporting criteria for groundings easily accessible?
      Are reporting procedures for groundings consistent with vessel emergency response
      procedures?

  6   Other Company-Specific Incident Reporting Policies and Procedures
      Are the responsibilities for company-specific incident reporting clearly defined for vessel
      crew and office personnel?
      Is a list of company-specific reportable incidents available?
      Is a routing list or communication flow chart available?




                                                           -16-                                            Revised 05/09
      RCP Audit Management Assessment Checklist
9. Incident Investigation/Review (Continued)                                              Yes No
  7   Are the responsibilities for incident investigation clearly assigned? (RCP II-G)

  8   Are procedures for incident investigation and review clearly defined? (RCP II-G)
      Does the incident investigation take place in a timely fashion?
      Is a detailed investigation report prepared after the investigation is conducted?
      Do investigation procedures address:
        Personal injury
        Spill
        Vessel accidents

  9   Are investigation results used to formulate lessons learned? (RCP II-G-6)
      Are lessons learned communicated throughout the organization?

 10   Identify any additional noteworthy incident investigation/review procedures:




 11   Summary of incident investigation observations:




 12   Areas for improvement:




                                                       -17-                                  Revised 05/09
                     RCP Audit Management Assessment Checklist
10. Maintenance and Repair of Vessels                                                                       Yes    No
  1   Does a written vessel maintenance program exist within the company? (RCP II-A-5)
      Does the maintenance program cover the following components:
        A designated person responsible for vessel maintenance? (RCP II-A-5a)
        Procedures for the performance of scheduled maintenance? (RCP II-A-5b)
        Requirements for the qualifications and training of the persons in charge of
      ..maintenance? (RCP II-A-5c)
        Procedures for correcting deficiencies identified during maintenance? (RCP II-A-5d)
        A policy regarding the retention of maintenance records? (RCP II-A-5e)

Towboat Hull - Documentation of Inspection Items
      Is there a policy and/or procedure concerning drydocking or routine hull inspections?
  1   (RCP III-A-1 & RCP IV-A-1)
      Does the policy provide for a maximum 36-month drydock period? ( RCP III-A-1 & RCP IV-A-1a)
      For coastal harbor services, does the policy provide for a minimum drydock period once every 5
      years with a mid-term underwater inspection between the 24th and 36th months? (RCP IV-A-1b)
      For coastal/ocean towing vessels, does the policy provide for hull gaugings and ballast tank
      inspections? (RCP IV-A-2)

      Is there a policy and/or procedure concerning inspection of watertight closures (doors,
  2
      hatches, airports, windows, etc.)? (RCP III-A-2 & RCP IV-A-3)
      If vessels have watertight closures, is there a policy requiring annual inspection, with particular
      attention to deck or freeboard closures?
      Is there a policy requiring annual inspections of other openings (ventilators, air pipes, tank
      vents, etc.) for water or weather tightness and structural integrity? (RCP III-A-3 & RCP IV-A-4)

      Are these inspections documented?

  3   Is there a policy requiring annual inspection of:
      Rails, ladders, bulwarks, lighting, walking surfaces, chain guards and handrails for wastage,
      weakness and personnel safety considerations? (RCP III-A-4a & RCP IV-A-5)
      Safety chains (if equipped) along the outboard sides of the main deck?
      Are these inspections documented?

      Is there a policy requiring annual inspection of emergency walkways and hatchways?
  4   (RCP III-A-5 & RCP IV-A-6)
      Are these inspections documented?

      Is there a policy regarding the use of piping diagrams and the marking of piping systems
  5
      (color coding, numbering, lettering, etc.)? (RCP III-A-6a & RCP IV-A-8a)
      Are piping diagrams kept aboard the vessel? (RCP III-A-6a & RCP IV-A-8a)
      Is there a policy requiring annual inspection of piping systems and tanks?
      (RCP III-A-6b & RCP IV-A-8b)
      Are these inspections documented?

      Is there a policy requiring annual inspection of freeing ports and scuppers (if applicable)
  6   while underway to note satisfactory drainage of the main deck for seaworthiness? (RCP III-
      A-7 & RCP IV-A-7)
      Are these inspections documented?




                                                           -18-                                              Revised 05/09
      RCP Audit Management Assessment Checklist
10. Maintenance and Repair of Vessels (Continued)
  7   Identify any additional noteworthy vessel maintenance policies and procedures:




  8   Summary or vessel maintenance and repair audit observations:




  9   Areas for improvement:




                                                    -19-                               Revised 05/09
      RCP Audit Management Assessment Checklist
10. Maintenance and Repair of Vessels (Continued)
Machinery                                                                                                      Yes    No
      Does the company vessel maintenance program cover the following components:                  (RCP III-
  1   B-1 & RCP IV-B-1)
      All major propulsion machinery, including engines, reduction gears, clutches, controls, shafting,
      bearings, and other items prone to wear? (RCP III-B-1a & RCP IV-B-1a)
      Steering system - all components (RCP III-B-1b & RCP IV-B-1b)
      Miscellaneous auxiliary systems (RCP III-B-1c & RCP IV-B-1c)
      Electrical systems - to include labeling (RCP III-B-1d & RCP IV-B-1d)

      Are maintenance records kept on all systems identified above?        (RCP III-B-2 & RCP IV-B-2)
  2
      Is sufficient information kept to develop a program for overhauls, repairs, and preventative
      maintenance? (RCP III-B-2 & RCP IV-B-2)
      Are logs kept which indicate any maintenance or inspections performed?
      (RCP III-B-2 & RCP IV-B-2)


  3   Do company maintenance procedures include a lock-out/tag-out policy?                              (RCP
      III-B-3 & RCP IV-B-3)


      Does the maintenance program require that guards be placed around any exposed
  4
      moving parts (e.g., shafts, belts, pulleys, etc.)? (RCP III-B-4 & RCP IV-B-4)

         Note: Items marked with an asterisk (*) denote recommended practices only.
Alarms
      Does the company's policy require that vessels be equipped with the following alarms or
  1   require that individuals be assigned the responsibility of monitoring and documenting
      the following: (RCP III-B-5a & RCP IV-B-5a)
      Main engine water temperature (RCP III-B-5a-1 & RCP IV-B-5a-1)
      Main engine lube oil pressure (RCP III-B-5a-2 & RCP IV-B-5a-2)
      Bilge alarm (RCP III-B-5a-3 & RCP IV-B-5a-3)
      Generator water temperature (RCP III-B-5a-4 & RCP IV-B-5a-4)
      Generator lube oil pressure (RCP III-B-5a-5 & RCP IV-B-5a-5)
      Hydraulic steering fluid level (RCP III-B-5a-6 & RCP IV-B-5a-6)
      General alarm audible in all compartments (RCP III-B-5a-7 & RCP IV-B-5a-7)
      Is the general alarm tested weekly? (RCP III-B-5a-8 & RCP IV-B-5a-8)
      Are other alarms tested at least quarterly? (RCP III-B-5a-8 & RCP IV-B-5a-8)
      Do vessels with unmanned or periodically manned engine rooms have alarm panels in both
  *
      engine room and wheelhouse? (RCP III-B-5a-9 & RCP IV-B-5a-9)

Gauges
      Does the company's policy require that vessels be equipped with the following gauges
  1   or require that individuals be assigned the responsibility of monitoring and documenting
      the following: (RCP III-B-5-b & RCP IV-B-5-b)
      Main engine water temperature (RCP III-B-5b-1 & RCP IV-B-5b-1)
      Main engine lube oil pressure (RCP III-B-5b-2 & RCP IV-B-5b-2)
      Generator water temperature (RCP III-B-5b-3 & RCP IV-B-5b-3)
      Generator lube oil pressure (RCP III-B-5b-4 & RCP IV-B-5b-4)
      Main engine tachometer (RCP III-B-5b-5 & RCP IV-B-5b-5)
      Hydraulic steering fluid level (sight glass) (RCP III-B-5b-6 & RCP IV-B-5b-6)
  *   Reduction gear oil pressure (RCP III-B-5b-7 & RCP IV-B-5b-7)
  2   Identify any additional noteworthy vessel machinery policies and procedures:




                                                          -20-                                                  Revised 05/09
      RCP Audit Management Assessment Checklist
10. Maintenance and Repair of Vessels (Continued)
  3   Summary of vessel machinery audit observations:




  4   Areas for improvement:




  *   Items marked with an asterisk denote recommended practices only.




                                                   -21-                  Revised 05/09
               RCP Audit Management Assessment Checklist
11. Internal Auditing                                                                          Yes   No
  1   Does the company have an internal auditing program? (RCP II-G-1)
      Does the auditing program require annual internal audits? (RCP II-G-1)
      Is there a method for identifying nonconformities? (RCP II-G-1a)
      Does the method of tracking corrective action include assigning responsibility for
      doing so? (RCP II-G-1b-1)
      Does the method of tracking corrective action include a management review? (RCP II-G-
      1b-2)
      Does the method of tracking corrective action specify a timeframe for follow-up (e.g.,
      90 days)? (RCP II-G-1b-3)
      Does the audit program verify vessel inspection procedures? (RCP II-A-6)
      Do these procedures include:
        What is to be inspected and/or audited
        Persons responsible for conducting in-house inspections (RCP II-A-6a)
        Frequency of inspections (RCP II-A-6b)
        Qualifications and training requirements for persons responsible for conducting in-
      ..house inspections (RCP II-A-6c)
        Procedures to correct deficiencies identified during inspections (RCP II-A-6d)
        Inspection record retention program (RCP II-A-6e)

  2   Does the company have performance measurement procedures? (RCP II-G-8)
      Does the company record and measure performance statistics including number and
      rate of (RCP II-G-8)?:
      Manhours (RCP II-G-8a)
      Fatalities (RCP II-G-8b)
      Recordable injuries(RCP II-G-8c)
      Lost time injuries (RCP II-G-8d)
      Falls overboard (RCP II-G-8e)
      Does the company have a process for identifying areas for improvement? (RCP II-G-8)
      Does the company track the following indicators to assess its effectiveness?
       Demurrage and delay rates
       Mechanical breakdowns and maintenance records
       Regulatory nonconformities and customer complaints
      Does the company participate in the AWO Voluntary Safety Statistics Program?

  3   Does the company have a vendor safety policy?
      Are there procedures for evaluation of subcontractors and vendors providing towing
      and vessel assist services on their ability to provide an acceptable level of safety?
      (RCP II-H-1)
      Possible factors to consider:
        Safety performance
        Safety management system
        Environmental compliance
        Crew training standards
        Emergency response plan
        Equipment maintenance standards
      Is preference given to towing, vessel assist and/or fleeting vendors that have a
      documented, and third-party audited, safety management system? (RCP II-H-1a)
      For vendors providing towing, vessel assist and/or fleeting services that maintain a
      routine and reoccurring business relationship with the company, but do not participate
      in an audited safety management system, are there procedures for one of the
      following? (RCP II-H-1b)
        On-site inspection of vessels and facilities (RCP II-H-1b-1)
        Pre-qualification through interview and completion of a safety assessment checklist
      with vendor safety/operations personnel (RCP II-H-1b-2)
                                                         -22-                                         Revised 05/09
      RCP Audit Management Assessment Checklist
11. Internal Auditing (Continued)                                               Yes   No
      Does the company have procedures to ensure compliance with applicable
  4   federal laws and regulations concerning marine safety and environmental
      protection? (RCP II-G-2)
      Do the procedures include person(s) responsible for compliance?
      Do the procedures include frequency and method of review?
      Do the procedures adequately identify sources of information?
      Are there procedures to verify that necessary changes have been made?

  5   Identify any other noteworthy internal audit procedures:




  6   Summary of internal audit program observations:




  7   Areas for improvement in the internal audit program:




                                                     -23-                              Revised 05/09
            RCP Audit Management Assessment Checklist
12. Document Control                                                                 Yes   No
  1   Does the company have a document control program? (RCP II-G-7)
      Does the program include:
       Identification of critical operating policies and procedures
       Identification of who receives the documented policies and procedures
       A control system for policies and procedures
       Cyclic accuracy review of critical operating policies and procedures

      Identify any additional noteworthy document control policies and procedures:
  2




  3   Summary of document control program observations:




  4   Areas for improvement:




                                                       -24-                                     Revised 05/09

								
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