VESSEL	NON-CONFIRMITY	OBJECTIVE-EVIDENCE	SMS REFERENCE	CATEGORY
KAYO	Failure to comply with company safety working practice.	Risk Assessment was not provided during weekly and monthly inspection of LSA (lifeboat).	OPM Ch. 3, Sec. 11, 11.02	Health & Safety Procedures
KAYO	Old CPIE remains posted on board.	During inspection, old CPIE was found on the bridge, in the ship’s office, crew and officer messroom, and engine room.	OPM Ch. 2, Sec. 3, 3.03	Communication and Documentation
KAYO	Failure to ensure safe working practices in the engine department.	D/G #1 and waste tank #1 QCVs are slightly leaking and may lead to a stuck valve spindle and failure to close during an emergency	OPM CH. 1, Sec. 2 (4)	Duties, Drills & Training
CROS	Failed to ensure that guidelines for enabling prompt decision-making on suitable firefighting procedures in the event of an onboard fire are available.	The local firefighting manual is not available onboard, posing significant safety risks such as delayed response times and ineffective firefighting efforts during emergencies.	OPM Ch.3 Section – 5 Fire Prevention 5.01 General	Fire & Safety
CROS	Failed to ensure that the officer and rating on watch could quickly take immediate action in the event of a Man Overboard incident, such as releasing the man overboard signal (lifebuoy with light and smoke float) on the side where the person has fallen overboard	The light and smoke signals are incorrectly installed on the bridge wings, posing significant safety risks such as delayed or ineffective man overboard action, which can hinder rescue operations and increase the risk of injury or loss of life	OPM Ch.5 section 4.12 MAN OVERBOARD	Life Saving Appliance
CROS	The Responsible engineer failed to ensure that repair work on electric equipment onboard is safety carried out by authorized person.	SWCL-008 Electrical System Work Permit is not utilized during work on electrical equipment onboard.	OPM Ch.3 section 4.09.01 Safe Handling of Electrical Equipment	Health & Safety Procedures
CROS	Failed to ensure the safe operation of lifting appliances onboard.	The Safe Working Checklist (SWCL-007) for Lifting and Mechanical Handling was not utilized during the use of the bunker davit in the bunkering operation in Singapore.	OPM Ch3-Section 4.03.01 General Precaution to the Appliances	Health & Safety Procedures
CROS	Failed to ensure that all IMO required publications are current editions and updated with the latest supplements	Several IMO publications onboard are outdated, and some lack the latest supplements, potentially compromising the accuracy and reliability of critical information.	OPM Chater 2 Section 3.07.01 List of SMS Documents	Communication and Documentation
PIMA	The Damage Control Booklet is designed to offer comprehensive information about the ship’s watertight compartments and related equipment for maintaining boundaries. This ensures that in case of any damage leading to flooding, the crew is well-prepared and equipped to implement immediate and effective countermeasures to manage emergency situations.	The Damage Control Booklet, apart from the copy in the wheelhouse & Ship’s Office, is not accessible in a convenient location for non-officer personnel.	SOLAS Chapter 11-1, Reg.19 (1) & OPM Chapter 1 Section 4.06.05	Health & Safety Procedures
PIMA	Failure to observed proper documentation management; records shall be made carefully and accurately, and entries shall always give a faithful and precise entries	Entries in Biofouling Management Plan, records of MGPS have no details of maintenance carried out.	OPM Chapter 2 Section 3.02	Communication and Documentation
PIMA	Failure to follow guideline set port in OPM. The person who is assigned tank sounding shall use “Bunkering Progress Checklist, Checklist BNCL-004” to ensure the level and condition of each tanks.	In Bunker progress checklist, only the receivable tanks were monitored, no record of monitor on the condition of un-receivable tanks.	OPM Chapter 7 Section 16.08	Communication and Documentation
PIMA	Chief Engineer failed carry out the safety education about the asbestos health effects to crew members in accordance with the “Asbestos information in SMS 0502” and record it to the “SQR 003(2) Record of OJT”.	No record of Education about asbestos at all.	OPM Chapter 8 Section 13.10	Duties, Drills & Training
PIMA	Failure to follow guidelines set port in OPM. The Chief Engineer failed to prepare the crew in response to emergency arises during bunkering.	The “Flow Chart of Oil Pollution Contingency Plan” shown in Appendix VI of “SOPEP” was not posted at the bunkering station and near the manifold during a bunkering operation.	OPM Chapter 7 Section 16.14.06	Health & Safety Procedures
LAMA	The Master shall ensure that all new joining personnel, as well as all onboard crew, read the Safety Management System (SMS) Manuals and handover report (as applicable) and fully understand their duties and responsibilities.	Handover reports are not complete. Some reports are missing, and there are no signatures (SQR-004 to SQR-007).	OPM Ch. 1, Sec. 2.01	Duties, Drills & Training
LAMA	To ensure safe cargo operation, the difference between the Draft Gauge and actual draft shall be checked using the calculation to make sure that the loading operation is progressing properly.	In the ballast console, the “Aft draft” gauge is defective. There is a 10-meter difference from the actual reading.	OPM Ch. 9, Sec. 2.04.04	Health & Safety Procedures
LAMA	Greasing to deck machinery, cargo gear, ventilators, hatch covers, and other equipment on the weather deck shall be applied on a monthly basis. This is to prevent damage to mooring ropes and potential accidents.	Some mooring fairlead rollers in the forward and aft stations were found frozen and require greasing maintenance.	OPM Ch. 8, Sec. 3.04	Others
LAMA	Non-compliance with the company lifesaving appliances manual. The deteriorated ropes, if not replaced, may cause failure in rescue or man overboard operations.	The grablines of 2 life rings were found deteriorated and needed to be replaced.	OPM Ch. 8, Sec. 10	Life Saving Appliance
CEDR	Failure to ascertain that company procedure against burn injury is adhered to.	During round inspection, the full-face shield PPE for the crew engaged in “ash removal” or “solid waste insertion” at the incinerator was found missing.	OPM Ch. 3, Sec. 3.02.07 Burn injury protection	Fire & Safety
CEDR	Failure to ascertain quick and easy identification and location of onboard Fire Fighting Equipment and fire control measures.	During the round inspection, the posted FFE IMO symbols were found to be damaged, fading, and improvised at various locations, particularly in the Engine Room.	OPM Ch. 8, Sec. 10 LSA, FFE and Safety Equipment	Fire & Safety
CEDR	Failure to identify unsafe conditions and poor housekeeping.	During round inspection, it was found that the Engine Room chain block was not properly secured and the safety latch was missing.	OPM Ch. 3 Sec. 1 Health Safety Policy	Health & Safety Procedures
CEDR	Failure to implement fire and pollution prevention onboard.	During round inspection, it was found that used cooking oil was stored in an undesignated compartment outside the galley and the container was not properly marked as required.	OPM Ch.3 Sec. 5 Fire Prevention / Garbage Management Plan (Sec 11.7.4 – Disposing of Garbage) Used Cooking Oil	Fire & Safety
CEDR	Failure to implement effective Bridge Resource Management onboard.	During round inspection and an interview with OOW, it was found that Navtex information received and automatically plotted in ECDIS was not verified.	OPM Ch.6 Sec. 2 Bridge Resource Management	Navigation Safety
CEDR	Failure to implement Fire Prevention Onboard.	During round inspection, it was found that the designated smoking area was using non-self-extinguishing ashtrays.	OPM Ch.5 Sec. 5.02.2 Smoking Regulation	Fire & Safety
CEDR	Failure to ensure weather-tight integrity of hatch cover.	During a round inspection, many hatch cover cleats were found wasted and lying on the deck. They were unable to be hung on the hatch coaming in the open hatch condition due to deterioration.	OPM Ch.8 Sec.3.03 Hatch Cover General Maintenance and Attention / Load Line	Others
RMRI	Failed to ensure the GMDSS batteries are in good condition and capable of providing sufficient power during emergencies.	There is no documented evidence of the annual capacity test for the GMDSS battery.	Regulation 13, Chapter IV of SOLAS	Communication and Documentation
RMRI	The Officer of the Watch (OOW) failed to effectively monitor the accuracy of the vessel’s position, potentially compromising safety in the event of any loss or error in sensory inputs on the Electronic Chart Display and Information System (ECDIS).	When using LOP for manual position fixing on ECDIS, the Officers of the Watch (OOW) did not use range and bearing from RADAR and rely solely on the ECDIS RADAR overlay function. However, this practice may lead an error due to range mismatch.	OPM Ch.6 Sec 3.03.04 Monitoring	Navigation Safety
RMRI	Responsible Officer failed to ensure that all necessary preparations for the safe embarkation and disembarkation of the pilot by helicopter were completed.	OPM Form “SWCL-004: Helicopter / Ship Operation” checklist not utilized during the last voyage pilot embarkation & disembarkation by helicopter at Port Walcott.	OPM Ch. 3 Section 4.17 Helicopter/Ship Operations	Health & Safety Procedures
RMRI	Failed to ensure that all officers are familiar with the proper use of onboard Gas detector.	No OJT for gas detector according to maker’s instructions manual was carried out to officers onboard.	OPM Ch.8 Sec. 10.04(2) GAS DETECTOR	Duties, Drills & Training
RMRI	Failed to ensure that all crew members are familiar with and understand the Purpose and Scope of Application of the Onboard Compliance Rule.	There is no current acknowledgment that the crew has read and understood the Onboard Compliance Rule. The last recorded acknowledgment was in December 2023.	SMS Doc-0200: Onboard Compliance Rule	Communication and Documentation
RMRI	Failed to ensure that the steering console operation, along with its various modes of operation and how to change from one to another is executed correctly at all time.	The required notices not posted on the bridge, close to the steering control, which describe a. the method of changing from automatic to hand steering; b. the method of changing from one electric control system to the other	OPM Ch.6 Section 8.03.01 Steering System and Auto Pilot	Navigation Safety
SOCD	Failed to upkeep the records of FFE as per the company procedures. This hinders the ability to verify the presence and condition of essential firefighting equipment, which is critical for emergency response.	During verification of documents, it was observed that the particular and inventory list of firefighting equipment specific to the vessel was not available.	MTR-028 / FFE Manual	Communication and Documentation
SOCD	Attention is required for the maintenance of bunker and fuel oil (F.O.) valve deck fittings and related components. Effective maintenance is essential as part of the hull and superstructure procedures to prevent potential leaks and contamination.	It was observed that the bunker valves and fuel oil (F.O.) valves were getting corroded.	OPM Ch. 8, Sec. 3, 3.01 – Hull Superstructure and Painting	Others
SOCD	Safety practices for anchoring equipment were not adequately ensured after mooring operations. This could pose a risk as it fails to guarantee that anchors are secured and free from accidental release.	The toggle pins of both anchors are not in place.	OPM Ch. 1, 4.05.02 – Safety and Environment Awareness	Health & Safety Procedures
SOCD	Attention is required for the maintenance of Navigational Equipment to address the cosmetic deficiencies, to ensure compliance with maintenance and aesthetic standards.	Magnetic Compass painting condition is faded.	OPM Ch. 8, Sec. 3, 3.01 – Hull Superstructure and Painting	Navigation Safety
TNSO	Failure to ensure crew safety while carrying out job with risk of electrocution.	SWCL-008 Electrical System work permit is not utilized prior carrying out overhauling of No. 1 FO Purifier Induction motor. In addition, some electrical panels and electric equipment do not have certified type rubber matting	OPM CH 3 Sec 4.09	Health & Safety Procedures
TNSO	Failure to ensure safe entry in enclosed space.	SWCL-001 Enclosed Space Entry permit for working at Emergency Fire Pump room is granted before Pre-entry checks and preparations are carried out.	OPM Ch 3 Sec 4.15	Health & Safety Procedures
TNSO	Failure in safety monitoring and recordkeeping during conduct of Hot work job.	Lacking entries in the safety checklist including commence and finish of hot work job.	OPM Ch 3 Sec 4.16	Health & Safety Procedures
TNSO	Failure to ensure safe access to vessel.	No conspicuous postings or markings for Maximum limit of Persons shore brow and accommodation ladder.	OPM CH 3 Sec 4.11	Health & Safety Procedures
TNSO	Failure of upkeep of emergency lighting systems.	Emergency light port and starboard are frozen.	Maintenance Manual for LSA (LSAMA)	Life Saving Appliance
TNSO	Failure of upkeep of free-fall lifeboat wire / fittings.	Heavily rusted and no record of renewal of FFLB jump stopper plate wire and frozen lifting wire hook. No record of when first use or replacement.	Maintenance Manual for LSA (LSAMA)	Life Saving Appliance
TNSO	Failure to ensure emergency preparedness during black out.	Inoperative and deteriorated communication headset and flashlight in Emergency Generator Room.	OPM CH 7 Sec 2.04	Life Saving Appliance
TNSO	Failed to prevent burn injury in E/R.	Observed Lagging tapes on various hot spot areas in E/R are deteriorated and lacking.	OPM CH 3 Sec 5.12	Health & Safety Procedures
WHKI	Failure to ascertain safe navigation as per company instructions was adhere to.	The vessel is equipped with EPL (Engine Power Limiter), however company instruction was not followed:	MMSM Circular 07ENR 24/001 and 06 BRG 24/002	Duties, Drills & Training
WHKI	Failure to ensure proper maintenance of mooring equipment and fittings for safe mooring and unmooring operations.	a) Familiarization and training of EPL for deactivation and reactivation every 3 months and whenever a crew change of senior officer onboard.	OPM Ch. 8, Se. 6.02 Windlass and Mooring Winches	Health & Safety Procedures
WHKI	Failure to ascertain safe operation on board.	b) EPL characteristics and details was posted and indicated in the maneuvering characteristics and Pilot Card.	OPM Ch. 8, Sec. 1 Maintenance Procedure	Communication and Documentation
WHKI	Failure to ensure updated emergency communication on contacts are readily available on board.	During document and round inspection, found the following:	CPIE (Communication Procedure In Emergency)	Communication and Documentation
WHKI	Failure to identify specific Enclosed Spaces for safe operation onboard.	a) Incorrect and not vessel specific data indicated in the MSMP (Mooring System Management Plan), such as Equipment No and MBLsd.	OPM Ch. 3 Sec. 4 15 Safe Working Practice, 4.15 Entry Into Enclosed Space // SVGNO-INFO-25005	Health & Safety Procedures
WHKI	Failure to implement Fire Prevention On board.	b) The mooring brake screw indicator was not properly set.	OPM Ch 3 Sec. 5.08 Galley Fires	Fire & Safety
WHKI	Failure to ensure Cargo Hold weather-tight integrity.	c) Mooring winches and its associated parts are corroded.	OPM Ch. 8, Sec. 3.30 Hatch Cover	Health & Safety Procedures
WALI	The crew failed to uphold safe housekeeping practices, which are essential for minimizing fire risks. Leaving a fire door open undermines the fire compartmentalization of the area, significantly increasing the potential for fire spread.	During PMS record verification, 51 items for various equipment were found overdue.	Ch. 3, Sec. 5, 5.14	Fire & Safety
WALI	Person in charge did not fulfill the responsibility for keeping, maintaining, and updating all documents outlined in the SOMM. This failure compromises the integrity and effectiveness of the SMS.	During document inspection, SOPEP Annex -01 {Emergency Communication Method) and Annex: -03(24hrs Contact Details)	Ch. 2, Sec. 3, 3.01	Communication and Documentation
WALI	The Master did not ensure to maintain and update documents relevant to the Safety Management System (SMS). Incomplete information can lead to non-compliance with the flag state requirement.	were not updated to the latest one issued by the company.	Ch. 2, Sec. 3, 3.01	Communication and Documentation
WALI	Failed to ensure a complete distribution of power strips as required by circular 03-HSE 16/008 which according to the guidelines is designed to ensure safety and prevent hazards.	During document and round inspection, posted Enclosed Space List is generic and not ship-specific.	03-HSE 16/008	Fire & Safety
WALI	The vessel failed to utilize the supplied acrylic board warning notice with the message ‘WARNING – Do Not Enter You Will Die to Oxygen Deficiency Hazard’ during cargo operations. This failure compromises safety protocols designed to prevent incidents of oxygen deficiency, posing a significant risk to crew members.	During round inspection found galley fire door was installed with a permanent hook or hold back.	GEN/230705-1206 / GEN/230531-912	Health & Safety Procedures
WALI	Safety practices for anchoring equipment were not adequately ensured after the mooring operations and leaving the stations. This oversight poses a risk by failing to ensure that anchors are properly secured and protected from accidental release.	During round inspection, found heavily corroded hatch cover cleats at various locations.	OPM Ch. 1, 4.05.02	Health & Safety Procedures
WALI	Failed to meet the specific requirement outlined in OPM which mandates that the crew list and all Muster Lists must be both signed and dated by the Master. This omission violates the procedural requirement that must be present on these documents.	Fire door in the galley is kept in “open position” during the period of galley staff rest hour (unmanned period).	OPM CH. 5, Sec. 1, 1.04	Communication and Documentation
RMAL	Failure to maintain the company filing system onboard which identifies the various company forms or documents which shall be stored in each file of ShipNet system.	The Ship’s Particular page on GMP was not updated after the change of Ownership from Grunt Marine S.A. to Caprice Maritime, Inc. updating of these documents do not require NK approval.	OPM Ch. 1, Sec. 5.01	Communication and Documentation
RMAL	For Safety of navigation and prompt response in case of emergency, crew should be familiarized with the location of NUC and deep draft lights.	The declaration and information of Master, license, and period of command in the Panama Official logbook was not written.	OPM Ch. 5, Sec. 4 / COLREG rule 3	Navigation Safety
RMAL	Failure to comply with the company fire prevention policy – Personal Electronic Equipment (PEE) such as laptop, mobile phone, tablets, gaming console, torch lights and other similar devices that carries re-chargeable battery pack is a potential fire risk when charged using ship’s power.	No available onboard extension cables in spare cabin.	OPM Ch. 3, Sec. 5.04	Fire & Safety
RMAL	Failure to carry out proper handovers of duties and responsibilities.	“The vessel is not utilizing the supplied acrylic board warning notice with the message ‘WARNING – Do Not Enter You Will Die’, as observed during the deck tour.	OPM Ch. 1, Sec. 2	Communication and Documentation
RMAL	For safe embarkation of Pilot, crew during such inspection it must be ensured that the pilot embarkation station is well maintained, clean, de-rusted, painted, good housekeeping maintained, and kept safe and gives a good impression.	Anchors are not secured by chain stopper / compression bar are found in “UP” position during inspection of moorings.	OPM Ch. 8, Sec. 10.05.03	Health & Safety Procedures
DYCR	Failure to ascertain efficient and safe bridge operation for safe navigation.	The Emergency Muster lists, although signed by the Master, are not dated.	OPM Ch. 8, Sec. 6.02	Navigation Safety
DYCR	Failure to ensure proper maintenance of mooring equipment and fittings for safe mooring and unmooring operations.	Found following forms are not updated in shipnet one.	OPM Ch. 8, Sec. 6.02	Health & Safety Procedures
DYCR	Failure to ensure a safe ballast operation.	1) SQR 004 5) STR 001 (D) 9) MTR 004	OPM Ch. 8, Sec. 1	Others
DYCR	Failure to ensure safe access onboard.	2) SQR 005 6) STR 001 (E) 10) MTR 015	OPM Ch. 8, Sec. 10.05	Health & Safety Procedures
DYCR	Failure to ensure safe entry in the identified enclosed spaces onboard.	3) ACR 013 7) STR 001 (C)	OPM Ch. 3, Sec. 4, 4.14 / SVGMO-INFO-25005	Health & Safety Procedures
BRAD	Failure to follow guideline set port in OPM. The person who is assigned tank sounding shall use “Bunkering Progress Checklist, Checklist BNCL-004” to ensure the level and condition of each tank.	4) MDR 006 8) LOR 002	OPM Ch. 7, Sec. 16.08	Health & Safety Procedures
BRAD	Failure to ensure emergency preparedness during abandoned ship.	Deck crew unfamiliar with the location of switch on buttons for NUC and Deep draft lights.	OPM Ch. 3, Sec. 1.03	Life Saving Appliance
BRAD	Failure to observe proper documentation management.	During crew cabin inspection, found crew laptop power on and left unattended. Fire hazard.	OPM Ch. 2, Sec. 3.01	Health & Safety Procedures
BRAD	Failure to keep, maintaining and updating all documents relevant to the SMS and relevant information regarding safety and environmental protection.	Hand over of deck rating not proper / no signature of incoming crew.	OPM Ch. 2, Sec. 3.01 / Rightship	Health & Safety Procedures
SHYO	Failed to ensure a complete adherence to the company procedures as outlined in the circular of the Lock Out/Tag Out (LOTO) system. The standardized locking device are essential tool for mitigating the increasing risk of personal injury associated with inadequate equipment availability.	During inspection, found handrail ropes of pilot assist, ladder deteriorated.	Chapter 3, Section 4, 4.19 / MMSM Circular 03 HSE 24-028 - LOTO	Health & Safety Procedures
SHYO	Failed to establish a record of the Stop Work Authority (SWA) by the crew members. Company provided a pocket card to all crew, designed to immediately stop unsafe acts, address at-risk behaviors and procedural deviations, and prevent shortcuts or unauthorized deviations from approved work plans and risk assessments.	During bridge inspection found the following:	MMSM Circular 03 HSE 23-025 Stop Work Authority	Duties, Drills & Training
SHYO	The crew lacks awareness about the lanyard connection arrangement between self-igniting lights and lifebuoys which could compromise safety and functionality.	a. Navtex Information was not automatically transmitted or plotted in the ECDIS, despite system capability.	OPM Chapter 8, Section 10.02.03 / LSA Code Section II Chapter 2.1.3	Life Saving Appliance
SHYO	The vessel failed to ensure an upkeep inspection records of the firefighting equipment in the midship store. This condition will result in a deficiency if found by the PSC	b. Magnetic compass weekly inspection was not recorded in the deck logbook as prescribe in the SMS procedure.	OPM Chapter 8, Section 10.03.02	Fire & Safety
SHYO	The responsible officer is not properly aware of the procedures and instructions for “issuing permit to enter” of the Section 4-Personel Entry and the Section 5 - “Completion of Job” of the SWCL-001 Enclosed Space Entry checklist. This may lead to a miscommunication regarding the status of enclosed space operations posing a risk to the safety of personnel entering enclosed spaces	During document and round inspection, found the following:	OPM Chapter 3, Section 4.15.06	Communication and Documentation
SHYO	The vessel failed to record routine nighttime fire and safety patrols in the deck logbook, leading to potential non-compliance with safety regulations and lack of evidence that patrols were conducted.	a. MBLsd indicated in the MSMP (Mooring System Management Plan) was incorrect and not vessel specific.	OPM Chapter 3, Section 5.15	Fire & Safety
SHYO	Failed to comply the etiquette of wearing a proper clothing in port for easy identification of each rank and duties and so as not to offend other person or external personnel.	b. Some mooring winch brake band supports are corroded and was not properly set.	OPM Chapter 1 Section 3 3.12	Others
JOZE	The vessel does not maintain an essential list as required by the Safety Management System (SMS) for tracking and managing equipment and system defects onboard.	c. Some fairleaders are stuck up.	OPM Ch. 1 Section 2.03.07 First (Assistant) Engineer (1/AE) (10) / OPM Ch. 8 Section 4.02 Cargo Hold, Hatch Cover Maintenance and Inspection(7)	Communication and Documentation
JOZE	Incomplete Helicopter Operations checklist during separate disembarkation of pilot using helicopter.	During round inspection found No.5 (S) WBT level gauge reading was not correct compared with the actual manual sounding.	OPM Ch. 3 Section 4.17 Helicopter/Ship Operations	Communication and Documentation
JOZE	Failed to ensure that all officers are familiar with the proper use of onboard Gas detector.	During round inspection, inconsistent markings of the safe working angle were found between the gangway’s hanging placard and the platform on both (P/S).	OPM Ch.8 Sec. 10.04(2) Gas Detector	Duties, Drills & Training
JOZE	Failed to ensure that galley crew members have received training in the proper use of fire blankets, as required by the vessel’s Safety Management System.	During document and round inspection, posted List of Identified Enclosed Space was not specifically designated with the level of entry procedure requirement as per SMS.	OPM Ch.3 Section 5.08 Galley Fires (7)	Duties, Drills & Training
JOZE	The vessel failed to ensure that enclosed space entry and hot work operations were conducted in a safe manner, with proper hazard identification and full adherence to procedural requirements.	In Bunker progress checklist, only the receivable tanks were monitored, no record of monitor on the condition of un-receivable tanks.	OPM Ch. 2 Section 3.03 Amendment and Deletion	Health & Safety Procedures
REHO	Failure to maintain the company filing system onboard which identifies the various company forms or documents which shall be stored in each file of ShipNet system.	Tools for releasing the lifeboat aft deck lashing were not readily available for emergency use.	OPM Ch. 1, Sec. 5.01	Communication and Documentation
REHO	Failed to carry out the amendment / update the document(s) and destroy obsolete documents. Prompt removal of obsolete or invalid pages/chapters is necessary to prevent unintended use and is essential for effective functioning of the safety management system.	During testing of Emergency Generator, the PIC did not use the Emergency Gen checklist.	OPM Ch. 2, Sec. 3	Communication and Documentation
REHO	The Master shall encourage OOW’s to obtain regular celestial position fixes by sextant. This will ensure that the vessel position can be fixed in the eventually of malfunction of GPS or other satellite position fixing aids.	No record history for LOTO (lock out / tag out) during equipment maintenance filed on board.	OPM Ch.6, Sec. 8.12	Navigation Safety
REHO	Non-Compliance with company Lifesaving appliances Manual. The deteriorated ropes if not replace may cause failure in the rescue or man overboard operation.	The vessel has record of crew training on the LOTO procedures, however, they failed to raise a requisition for the locking devices, as instructed by the company.	OPM Ch. 8, Sec. 10	Life Saving Appliance
REHO	The crew shall maintain safe housekeeping to prevent the possibility of fire.	There are no records onboard in SQR OJT documenting that crew members have exercised the SWA authority.	OPM C. 3, Sec. 5.14	Fire & Safety
REHO	Failure to comply with manufacturer maintenance schedule may result to damage / malfunction of the equipment.	During physical inspection on deck, it was observed that lanyards of self-igniting lights were secured in different connections to the lifebuoys. (In the grabline equidistant points, lanyard and others are in body itself). Different connection occurred when securing the LSA during sea passage and pre-arrival port preparation.	JFE Ballast Ace Instruction Manual	Communication and Documentation
VEDR	Failure to implement proper management of documents as per SMS.	Although the crew has been maintaining records of fire extinguisher inspections but during a physical inspection on deck, it was found that the inspection entry for the month of May for the Fire extinguisher was not documented	OPM Ch. 2, Sec. 3.06.01	Communication and Documentation
VEDR	Failure to provide safe access in case of emergency.	During verification of SMS records, the SWCL-001 on May 22, 2025, inspection of TST no. 3 port, entries in the Section 4 “Time in and Time out was recorded 0842 and 0910 hours. While the entries in Section 5 “Completion of Job, secured and notification from the Officer of the watch was recorded 0842, 0850 and 0850 hours	OPM Ch. 3, Sec. 9.02.01	Health & Safety Procedures
VEDR	Failure to ensure proper maintenance of mooring equipment and fittings for safe mooring and unmooring operations.	During review of the deck logbook observed multiple entries missing fire and safety patrol records following the 0400 hours navigation watch.	OPM Ch. 8, Sec. 6.02	Health & Safety Procedures
VEDR	Failure to ensure that safe navigation is maintained onboard.	Observed some officers and crews are not wearing the complete rank tag, checked the SQR-009 hand-over report and confirmed included but no physical check during the turn-over duties. Conducted inspection again during the audit and some are found missing.	OPM Ch. 6, Sec. 4.02.4	Navigation Safety
VEDR	Failure to implement the necessary precautionary measures to mitigate potential hazards onboard, in accordance with the SMS.	During the audit, it was observed that the vessel did not maintain a defect list as required by the Safety Management System, and crew interviews confirmed the absence of such documentation.	OPM Ch. 3, Sec. 4.09.02	Health & Safety Procedures
VEDR	Failure to ensure operational safety and compliance with marine pollution prevention measures.	The vessel failed to complete separate checklists for two helicopter landings, resulting in incomplete safety documentation and potential oversight of landing-specific risks.	OPM Ch. 4, Sec. 1	Life Saving Appliance
ALPI	The vessel does not maintain an essential list as required by the Safety Management System (SMS) for tracking and managing equipment and system defects onboard.	No OJT for gas detector according to maker’s instructions manual was carried out to officers onboard.	OPM Ch. 1 Section 2.03.07 First (Assistant) Engineer (1/AE) (10) / OPM Ch. 8 Section 4.02 Cargo Hold, Hatch Cover Maintenance and Inspection(7)	Communication and Documentation
ALPI	The vessel failed to maintain watertight integrity of the hatch cover ventilators and hatch coaming drainpipes.	Review of SQR-003 during the audit, revealed no record indicating that galley crew have been trained in the use of fire blankets, contrary to SMS requirements.	OPM Ch. 8 Section 3.03 HATCH COVERS, ACCESS HATCHES, MANHOLES (3.03.01 General Maintenance and Attention)	Health & Safety Procedures
ALPI	Failed to ensure that all officers are familiar with the proper use of onboard Gas detector.	During the audit, it was observed that the crew used outdated versions of SWCL-001 Enclosed Space Entry Permit and SWCL-002 Hot Work Permit, which do not match the current approved versions specified in the SMS documentation. The use of obsolete forms may result in incomplete hazard identification and procedural non-compliance during high-risk operations.	OPM Ch.8 Sec. 10.04(2) Gas Detector	Duties, Drills & Training
ALPI	Failed to ensure that galley crew members have received training in the proper use of fire blankets, as required by the vessel’s Safety Management System	Found following forms are not updated in shipnet one.	OPM Ch.3 Section 5.08 Galley Fires (7)	Duties, Drills & Training
ALPI	The vessel failed to utilize the latest approved version of the reporting form and checklist; using outdated documentation can lead to regulatory non-compliance, inaccurate records, operational inefficiencies, and increased safety risks.	1) MDR 003 5) MTR 002	OPM Ch. 2 Section 3.03 Amendment and Deletion	Communication and Documentation
TOPR	Failure to maintain consistent and accurate testing records in accordance with SMS standards, this may lead to observations or queries during external inspections.	2) STR 005 6) MTR 004 – no record of back support	OPM Chapter 2 Section 3, 3.01	Communication and Documentation
TOPR	Failure to establish a rescue drill for all ships, where the engine room escape, trunk does not lead to the lowest level of the engine room, utilizing the engine room escape trunk, to exit on deck as instructed by the Company for emergency preparedness in non-standard escape arrangements.	3) LOR 002 7) MTR 013	MSC.1/Circ.1511 EM: GEN 250225-391 // Info Sharing China PSC checking Emergency escape from Engine room	Duties, Drills & Training
TOPR	Failed to ensure responsibility for keeping, maintaining, and updating the documents onboard relevant to the SMS	4) LOR 005 8) MTR 024	OPM Chapter 2 Section 3, 3.01 / OPM Chapter 7 Section 3, 3.01 Sub para 2 (f)	Communication and Documentation
TOPR	Failure to ensure that the posted servicing and maintenance event records are accurately aligned with the most recent Maintenance Record. This shows a discrepancy in documentation and may lead to scrutiny during external inspections.	Found two (2) files of SEEMP, one is approved on 21 August 2023 and the other is approved on 06 April 2021.	OPM Chapter 2 Section 3, 3.01 / MTR-012	Communication and Documentation
WABO	Failure to maintain the company filing system onboard which identifies the various company forms or documents which shall be stored in each file or ShipNet One system.	Found the celestial fixing position is not carried out regularly. It was done almost every 2 months.	OPM Ch. 2, Sec. 5.01	Communication and Documentation
WABO	Failure to comply with the company fire prevention policy. Personal Electronic Equipment (PEE) such as Laptop, Mobile phone, tablets, gaming console, torch lights and other similar devices that carries re-chargeable battery pack is a potential fire risk when charged using ship’s power.	Found grablines of 2 life rings found deteriorated, need to be replaced.	OPM Ch. 3, Sec. 5.04	Fire & Safety
WABO	Non-Compliance with company lifesaving appliances manual. The deteriorated ropes if not replace may cause failure in the rescue or man overboard operation.	Galley exhaust hoods were found with oil stains and accumulated dirt, posing a fire hazard.	OPM Ch. 8, Sec. 10	Life Saving Appliance
WABO	Failure to record the date and time of pre-bunkering training in Deck Logbook and keep record in the form with the list of names and designation of those in attendance.	Found BWMS maintenance records not updated.	OPM Ch. 7, Sec. 16.05 (2)	Communication and Documentation
WABO	For safety of navigation and compliance to GMDSS, all navigation officers must familiarize themselves with basic and essential use of all bridge equipment using the company checklist “BRCL-002: Familiarization with Bridge Equipment”.	During Certificate inspection found the following:	OPM Ch. 6, Sec. 8	Navigation Safety
CADR	Failed to ensure the safety of the crew in performing the task.	a) Both active and superseded certificates were kept together in the same filing folder.	OPM Ch. 3, Sec. 4.03.01	Health & Safety Procedures
CADR	Lacked of effective emergency preparedness and had no clear definition of crew roles and responsibilities for responding to emergencies like fires, flooding, and abandon ship situations.	b) Numerous duplicated certificates are kept.	OPM Ch. 5, Sec. 4.01	Fire & Safety
CADR	Failed to provide comprehensive instructions and information to crew members on the use, maintenance, and operation of all life-saving appliances (LSA) and emergency procedures on board a vessel.	During round inspection, found a defective doorknob inside accommodation at “C” deck on the way out.	SOLAS Training Manual	Duties, Drills & Training
CADR	Failed to maintain an accurate heading reference for safe navigation of the vessel.	During document and round inspection, found the following:	OPM Ch. 6, Sec. 8.04	Navigation Safety
CADR	Failed to proactively identify, evaluate, and mitigate potential hazards that could lead to accidents, injuries, or environmental damage.	a) MBLsd indicated in the MSMP (Mooring System Management Plan) was incorrect and not vessel specific.	OPM Ch. 3, Sec. 11. Annex-1	Communication and Documentation
CADR	Failed to ensure crew safety on deck, particularly in preventing man-overboard incidents during rough weather conditions.	b) Some mooring winch brake band supports are corroded and were not properly set.	OPM CH. 3, Sec. 4.01.02	Life Saving Appliance
CADR	Failed to enhance safety on the vessel by providing critical information about safety, firefighting, and emergency procedures, ensuring all crew members understand evacuation routes, the location of emergency equipment, and potential hazards.	During the document inspection, it was found that the celestial sight observation record obtained only the Line of Position (LOP), but no position fix was recorded while the vessel was at open sea to compare with the GPS position fix.	IMO Resolution A.1116(30)	Life Saving Appliance
BRAD	Failure to maintain the company filing system onboard which identifies the various company forms or documents which shall be stored in each file or ShipNet One system.	During a routine inspection, it was found that the battery room’s natural ventilation screen was clogged with dust and dirt. Additionally, the ‘No Smoking’ sign was not conspicuously displayed.	OPM Ch 2 Sec 5.01	Communication and Documentation
BRAD	Failure for keeping, maintaining and updating all documents relevant to the SMS and relevant information regarding safety and environmental protection.	During free fall lifeboat inspection, accumulated oil and water found in the lifeboat engine bay.	OPM Ch 2 Sec 3	Communication and Documentation
BRAD	For safety of navigation and compliance to GMDSS, all navigating officers must familiarize themselves with basic and essential use of all bridge equipment using the company checklist “BRCL-002: Familiarization with Bridge Equipment”.	During the audit, it was observed that the vessel did not maintain a defect list as required by the Safety Management System, and crew interviews confirmed the absence of such documentation.	OPM Ch 6 Sec 8	Duties, Drills & Training
BRAD	Failure to declare and comply with company smoking regulation. Uncontrolled smoking poses serious fire hazard. In addition to being a fire hazard, tobacco smoking is considered harmful to smokers and to those who are exposed to second hand smoke (passive smokers).	Several hatch cover ventilators were observed with missing securing wing nuts, and several rubber tubing for the hatch coaming drains was also missing.	OPM Ch 3 Sec 5.02	Communication and Documentation
BRAD	Failure to comply with company instruction to place warning board on all open access hatches of cargo holds. This is to prevent fatal accident for crew and stevedores due to oxygen starvation or the presence of toxic vapor.	No OJT for gas detector according to maker’s instructions manual was carried out to officers onboard.	OPM Ch 3 Sec 4	Health & Safety Procedures
AZBR	Failure to accurately record training and drill dates may lead to non-compliance with regulatory requirements, such as SOLAS or ISM Code.	Review of SQR-003 during the audit, revealed no record indicating that galley crew have been trained in the use of fire blankets, contrary to SMS requirements	OPM Chapter 1 Section 4.06.12	Communication and Documentation
AZBR	Failed to ensure safe, efficient, and timely unloading by detailing the cargo's distribution, order of discharge, and associated operations, while also maintaining vessel stability, complying with port restrictions, and coordinating with terminal personnel.	During the audit, failure in the vessel’s SMS document management were observed. The vessel was found to be using outdated versions of several critical forms and checklists, including:	OPM Chapter 9 Section 1.02.02. CC.2	Health & Safety Procedures
AZBR	Failed to ensure vessel safety, regulatory compliance, and environmental protection by verifying ballast water treatment systems, recording operations, and preparing for discharge to prevent the introduction of invasive aquatic species.	- BNCL-002 Pre-Bunkering Training	OPM Chapter 4 Section 5.02, OPM Chapter 9 Section 1.09	Health & Safety Procedures
AZBR	Inadequate risk assessment leads to insufficient implementation of safety controls and protection, thereby creating unsafe working conditions. Failed to identify the potential risks and hazards that could arise in their work environment.	- BRCL-002 Familiarization with Bridge Equipment	OPM Chapter 3. Section 11.02.02 / Annex-1	Communication and Documentation
AZBR	Failed to place the warning board notice on a cargo hold access that serves to alert personnel to the confined and hazardous nature of the space, providing crucial safety information and preventing unauthorized entry.	- SQCL-001 New Joining Crew Familiarization	OPM Chapter 9, Sec.2.03.05	Health & Safety Procedures
AZBR	Failure to properly maintain ship equipment may result in increased risk of accidents or operational incidents.	- SQR-001 Minutes of On-Board Committee Meeting	OPM Chapter 8 Sec. 1.02.3	Health & Safety Procedures
AZBR	Failed to ensure the safety of the crew performing the tasks.	- SQR-003(1) 'Plans & Records of Drill & OJTI	OPM Chapter 3 Sec. 4.03.01	Health & Safety Procedures
CRPI	Failure to implement proper management of documents as per SMS.	- MUST-001 'Abandon Ship Station	OPM CH.2 Sec. 3.06.01 Trading Certificates	Communication and Documentation
CRPI	Failure to ascertain that relevant manuals and drawing are properly maintained and available onboard.	The log of pre-departure inspection for steering equipment in the Official log (Japanese Flag ship) contains entries (“Steering Test” only). These are inconsistent with those recorded in the Deck and Engine Bell books. (Carried out steering test FU/NU Sys 1 & 2 as per SOLAS Ch. V Reg. 20.6).	OPM Ch.2 Sec. 3.07.03 Ship’s Drawings	Communication and Documentation
CRPI	Failure to comply with posting of correct IMO symbols for easy identification onboard.	No documented records of rescue drills conducted using the engine room escape trunk.	ResolutionA.1116(30) Adopted on 5 December 2017 (Agenda item 9) Escape Route Signs and Equipment Location Markings	Health & Safety Procedures
CRPI	Failure to implement garbage management plan onboard.	The details of the latest approved engine checklist for arrival and departure (ERCL 001 and ERCL 002) by the company are incomplete and not align with the SMS for the equipment required to be tested for proper operation, no more than 12 hours before entering the navigable waters and before getting underway at every port or Canal	Garbage Management Plan 8.2 Primary Collection Points	Health & Safety Procedures
CRPI	Failure to ensure vessel general machinery and equipment’s are properly maintained as per Company PMS	The posted record for MTR-012, dated 01 May 2025, pertains to safety device checks conducted on Steering Gear No. 2 by the crew. While the event record document dated 06 June 2025 reflects the overhaul of Steering Gear No. 1 performed by the Service Engineer at Drydock.	OPM Ch. 8 Sec. 1 Maintenance Procedure	Communication and Documentation
CRPI	Failure to ascertain Life Saving Appliances are readily available for immediate use during emergency.	Found following forms are not updated in shipnet one:	OPM Ch. 8 Sec. 10 LSA, FFE and Safety Equipment.	Life Saving Appliance
ENGL	Fireman’s outfits onboard do not include manufacturer-issued instruction manuals. These manuals, which detail the proper use, maintenance and limitations of the equipment, were absent from the 4 SOLAS training manual.	1) SQR 007 5) STR 001 (D) 9) MTR 027	SOLAS Chapter II-2, Regulation 10.10.2 / OPM Ch. 5, Sec. 4 4.03.01 sub para 3	Fire & Safety
ENGL	Failure to record pre-departure checks of GMDSS communication equipment in the GMDSS logbook. The omission undermines the verification of equipment readiness prior to sailing and deviates from required operational procedures for ensuring the functionality of radio installations.	2) SQR 013 6) STR 002 10) MTR 029	SOLAS Ch. IV, Reg. 15 / OPM Ch. 6, Sec. 9,9.04	Navigation Safety
ENGL	Fire extinguisher equipment designated for helicopter operations, located in the forecastle area, was found obstructed. This condition compromises immediate access during emergency situations and does not comply with SOLAS requirements for unobstructed fire-fighting equipment.	3) SQR 008 7) STR 007	SOLAS Ch. II-2, Reg. 1.02.1.2 / OPM Ch. 8, Sec. 10, 10.03	Fire & Safety
ENGL	Failure to ensure proper upkeep and maintenance of Rescue Boat firefighting equipment. The conditions may compromise the reliability and state of readiness during emergency situations.	4) SQR 009 8) MTR 026	SOLAS Chapter II-2, Regulation 14 / OPM Chapter 8 Section 10, 10.03	Fire & Safety
ENGL	Power Tools machine in the Engine Room (E/R) workshop lacked a protecting cover. The rotating machinery poses a significant risk of injury to personnel during operation.	During crew cabin inspection, crew laptop power found on and left unattended, fire hazard.	ISM Section 10.2 Chapter 7, Sec 13 – 13.02.02 Machinery Guard	Health & Safety Procedures
ENGL	Some machinery pumps were found with exposed revolving shafts and uncovered openings, presenting a potential safety hazard and a risk of hand injury upon accidental contact with rotating components.	Found grabline of one life ring near starboard pilot ladder deteriorated and need to be replaced.	Chapter 7, Sec 13 – 13.02.02 Machinery Guard	Health & Safety Procedures
ENGL	The vessel does not have the physical means to effectively implement the company supplied lock-out and tag-out equipment. Proper and effectively used of the supplied lock out equipment for engine room switchboard was not observed.	The pre-bunker meeting held on 23 July 2025 was not recorded on the deck logbook.	OPM Chapter 3 Section 4.19 Electrical Equipment Lock Out / Tag Out / MMSM Circular 03 HSE 24-028 - LOTO - Implementation of standard locking device for accident prevention	Health & Safety Procedures
ENGL	Failure to maintain records of the Annual Capacity Test for GMDSS batteries, which verification of battery performance, the reliability and readiness of emergency communication systems cannot be assured, posing a potential risk to vessel safety during distress situations.	It was observed that the newly promoted Third Officer is not yet familiar with the navigational and radio equipment on the bridge.	SOLAS Chater IV Regulation 13.4.2 / OPM Chapter 6 Section 9, 9.04	Life Saving Appliance
ENGL	Failure to ensure the proper upkeep and maintenance of LSA (lifeboat). The impaired visibility through the lifeboat’s viewing window—may hinder the coxswain’s ability to safely conduct emergency launches or during routine drills.	The SWCL-007 Lifting and Mechanical Handling checklist was not utilized during lifting operations while the vessel was at port, specifically during the ship’s stores and provisions hauling.	LSA Code 4.4.7.1.4 OPM Chapter 3 4.14.03 and 04	Life Saving Appliance
ENGL	Failure to ensure that entry guidelines for personnel accessing the engine room during Unmanned Machinery Space (UMS) operations are prepared and posted at the engine room entrance. This omission compromises procedural compliance and may lead to unsafe entry practices during UMS mode.	During physical inspection found non-functional fire extinguishers and incomplete Muster Station details, compromising emergency preparedness	OPM Chapter 7 Section 1.03.03	Health & Safety Procedures
CROS	Failure to maintain the company filing system onboard which identifies the various company forms or documents which shall be stored in each file or ShipNet system.	SOLAS Training Manuals in the crew recreation room were found to be outdated and incomplete, with missing information on procedures for using hand flares, rocket parachutes, and smoke signals.	OPM Ch 2 Sec 5.01	Communication and Documentation
CROS	Failure to carry out the amendment / update the document(s) and destroy obsolete documents. Prompt removal of obsolete or invalid pages/chapters is necessary to prevent unintended use and is essential for effective functioning of the safety management system.	During a physical inspection of the gyro compass heading, it was found that the port side of gyro compass repeater was not synchronized with the master gyro compass.	OPM Ch 2 Sec 3.03	Communication and Documentation
CROS	Failure to ensure safety of navigation, in case of steering gear failure, the crew must be able to muster emergency steering station. Change over to local control from the steering gear platform shall be affected soonest. Communication between Bridge and Steering Flat shall be established, and the appropriate orders given by the Master from the Bridge shall be executed.	No evidence of Risk assessment form was prepared and signed by the top management prior to shifting berth, lifting heavy objects during the ship’s store and bunkering operation at port.	OPM Ch 5 Sec 4.10.02	Health & Safety Procedures
CROS	Noncompliance with SOLAS Chapter V and COLREGs, the Aldis lamp must not solely dependent on the ship’s main source of electrical power.	Physical deck inspection severely deteriorated and unsafe lifelines on portside main deck, with sever wear along its entire length.	OPM Ch 6 Sec 8.13 / SOLAS Chater 5 / Rule 36 of COLREG	Life Saving Appliance
CROS	Failure to carry out the Pre-Bunkering Training that shall be conducted within 48 hours prior bunkering using a Company form “Pre-Bunkering Training” Check List, BNCL-002" and to be recorded in Deck and C/E Logbook.	During inspection on deck, found that some IMO symbol stickers were posted with different identification, and others were missing.	OPM CH 7 Sec 16.05	Health & Safety Procedures
CROS	Failure to implement the new issue and revision of LSA checklist.	Found following forms are not updated in shipnet.	OPM CH 2 Sec 3	Communication and Documentation
PIMA	Failure to perform safe working practice as per company procedure on Enclosed Space Entry.	1) SQR 004 7) MDR 003 13) MTR 101	OPM Ch. 3, Sec. 4.15	Health & Safety Procedures
PIMA	Failure to identify unsafe acts and conditions by the committee onboard.	2) SQR 006 8) LOR 001 14) MTR 102	OPM Ch. 1, Sec 1.03	Health & Safety Procedures
PIMA	Failure to implement pollution and fire prevention on board.	3) SQR 007 9) LOR 004 15) MTR 201	OPM Ch. 3 & OPM Ch. 4	Fire & Safety
PIMA	Failure to ensure safe working space is properly implemented onboard.	4) SQR 008 10) LOR 005 16) MTR 202	OPM Ch. 3, Sec. 1	Health & Safety Procedures
PIMA	Failure to ensure proper making of LSA and FFE for quick identification during emergencies and darkness conditions.	5) SQR 009 11) MTR 001	OPM Ch. 8, Sec. 10	Life Saving Appliance
KAYO	Non-adherence to safe housekeeping practices in the steering gear room, as required by OPM instructions.	6) ACR 014 12) MTR 002	Ch. 3, Sec. 6, 6.18 / OPM Ch. 7, Sec. 13	Health & Safety Procedures
KAYO	Failed to complete the requirement mandating that guidelines for entry into the engine room during UMS operations be posted at the engine room entrance. The absence of these guidelines compromises procedural compliance and may lead to unsafe entry practices during UMS mode.	The Biofouling Management Plan is not updated. The latest record of revision is missing (Revision no.4).	OPM Ch. 7, Sec. 1, 1.03.03	Health & Safety Procedures
KAYO	Failure to adhere to the requirement stated in the procedure that the crew list other than the muster lists must be dated after signing by the Master.	It was observed that the newly promoted Third Officer is not yet familiar with the navigational and radio equipment on the bridge.	OPM 5, Sec. 1, 1.04 sub para (2)	Communication and Documentation
KAYO	The condition of deck machinery did not meet the satisfactory standard required by Section 6 of the OPM, indicating inadequate maintenance and inspection.	The declaration of the crew during pre-boarding briefing whether Smoker or No Smoker was not correct. During inspection found some crews are smokers but they declared No smoker.	OPM 8, Sec. 6, 6.01, 6.02 – 6.03	Health & Safety Procedures

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