Audit

ISM/ISO
Quality, Safety, and Envirnonmental Protection Management System

Is there a procedure about issuing and treating of important company wide information?
(Company Circulars, VA-062)

Is there a procedure about the Control of Docuents of the Quality, Safety, and Environmental Management System? (System Revisions) Are the Manuals up to date?

Is there a procedure about the Control of Documents and Data other than part of the QSE System, and are Documents and Data controlled accordingly? (VA-010)

Are Records controlled as per procedure?

Is a Document Masterlist available on board the vessel?

Is a local system administrator appointed by the Master? Does he undertake the administration of original data media for the software used on board? Does he administer the passwords used by his location and help new crew members with EDP user-problems?

Management Responsability

Is the Management Commitment known to be developing and improving the company's Management System?

Is the company's understanding of Customer Focus known? Are the company's customers known?

Is the company's Quality, Safety and Environmental Protection Policy known?
Are the main points
- safe ship operation
- safe working environment
known?

Are the company's Quality Objectives known/ available to all crew?
Is the vessel's safety committee appointed and does it carry out quality planning, including Risk Assessments (VA-075)?
Are Response Plans in case of emergency available and does all crew know where to find them?

Is everybody aware of his Function Description and its' contents?

Do the Officer's know about the Master's Overriding Authority and are they able to describe the main items of it?

Is the name of the appointed Designated Management Representative known by all crew?
Is the name of the Designated Person Ashore known by all crew?

Is the Safety Officer appointed by the Master?

Is the vessel's working language English, and is it used in all non-verbal communication?
Is it known that verbal communication may take placein a language bothe communication partners do understand?

Are the officers aware that all communication to the company goes through the Master, but can be written by every crew member?

Are all (Senior) Officers aware that the communication with Charterers, Agents and Authorities can only be done by the Master (and in his name)?

Does the Master carry out a System Review on a regular basis?
(as part of his written handover)

Is the Company's general declaration about Shipboard Security known to all crew?

Human Resources

How is the Crew's Qualification checked prior to emplyment (/by who), and how is it verified during signing on?

Is personnel appraised in regular intervals?
Who appraises?
What is the appraisal criteria?
(VA-056)

If apprentices/ cadets on board: are the training record books available, kept, and signed monthly by the Master?
(VA-046)

Are newly assigned crewmembers properly familiarised?
Is a Safety Familiarisation carried out for all on-signing crew?
Are the specific familiarizations carried out for nautical/ technical officers?
(VA-047)

Is the Drug- and Alcohol Abuse Policy known to everybody and is the "limit" clearly understood?

Is the procedure about Change of Command clearly understood? (Turning over the watch/ Handing over of Functions)
VA-003)

Are the regulations regarding working and resting times for seamen clearly understood and are records kept accordingly and true? (COmparison with Log Books/ Bell Book)
(VA-063)

Are SOLAS Training Manual and Fire Operational Booklet available in all mess rooms?

Infrastructure and Work Environment

Is the company's general approach regarding Safety at Work understood by all crew? (Everybody is himself responsible at first place for his own safety)

Procedure about entering tanks and other confined spaces

Procedure about Hot Work

Preparation for an emergency (Material Safety Data Sheets available at Chemical- and Paint Store)

Regular checking on gangways and accommodation ladders

Maintenance of Ship, Engine and Equipment

Is the procedure about Risk Assessments known? Are Risk Assessments carried out?

Purchasing

Internal Requisitioning

External Purchasing

Receiving Inspection

Service Provisions

Are Standing Orders/ Night Orders being issued, properly signed and controlled?

Are checklists available and followed for the preparation for arrival and for departure? Is the Master aware of Go-/ NoGo Situations?

Is voyage planning carried out in accordance with the procedure, containing all necessary data, from berth to berth?

Are the nautical officers aware about the procedure for navigation in restricted waters?

Are the nautical offiers aware about the procedure for navigating in heavy weather?

Are procedures in regard to Loading and DIscharging Operations avalable and understood?

Are procedures in place in regard to treatent and supervision of cargo?

Are Master, Cargo Officer and deck Officers aware about the procedure regarding the carriage of Dangerous Cargo?

Is everybody aware about the procedure regarding Environmental Protection?

Is the BWMP available and is Ballast Water Management being carried out?

Is the Bridge and Engine watchkeeping plan clear, up to date, and in compliance with work/ rest time calculations?

Are Officers aware and are procedures in place in regard to marking with inspection and test results?

Are storage areas defined and kept tidy?

Is a Bunkering Procedure in place and is it being rigurously followed?
Is the relevant Checklist being worked through?

Are parts for repair handled in accordance with the relevant procedure?

Is the Garbage Management Plan available updated and important information displayed as required? Is it known to all crew?

Monitoring and Measuring

Are vessels and Engine Operational Data being properly recorded? (Log books, PIM etc.)

Are internal technical surveys being carried out? Are officers aware about the meaning of internal technical surveys?

Date of last visit by a technical inspector:

Are officers aware about external technical surveys and how an external surveyor is to be treated?

Are Lifesaving- and Firefighting Appliances regularly insected, and is the Safety Officer aware about the requirements of carriage?

Are technical Officers aware about the Critical Equipment on board? Can they show a list of critical equipment? Can they describe/ show how to classify critical equipment?

Is critical equipment regularly checked and are records available? (See PMS)

Do technical Officers know the term "Final Inspection"?

Are records available in any form regarding customer satisfaction? If yes, are they forwarded to the respective departments?

Internal Audits

Is the procedure regarding Internal Audits known by the Master and Senior Officers?

When was the last internal Audit carred out?

What was the result of the last internal Audit? Have all Non Compliances been closed out properly and all corrective and preventive actions been done?

Control of Non Conformity

Is everybody on board aware, that deficiencies have to be reported?

Date of the last PSC:

Place and Result of the last PSC

Date of the Last Flag State Inspection

Place and Result of the last Flag State Inspection

Is the class status of the vessel valid?

Are damages and claims properly reported and followed up?

Analysis of Data

Are senior Officers aware, that deficiencies detected by external surveyors have to be reported by using the Occurrence Report Form, one Report for each deficiency?
Are Non Conformities, Accidents, Occurrences and Serious Incidents properly reported?

Improvement

Is the Term "Corrective Action" clear and known by all Officers?

Is the term "Preventive Action/ Action to prevent recurrence" known to all Officers?

Are Drills and Trainings to Prepare for Emergency Situations carried out as required and logged accordingly?

Has the Emergency Telephone Number been tested successfully?

Who answered the Emergency Call?

Certification Verification and Control

Is a valid Copy of the Document of Compliance (Company) available?

Is the Letter according ISM Code 3.1 available (Declaration of Company)?

Are the results of the certification audits available and satisfactory?

Certification Audit carried out on:
Environmental Protection

Are environmental objects and program available?

Are environmental aspects available?

Are environmental targets available and understood?

Remarks

The Master is fully conversant with the Management System

The Chief Engineer is fully conversant with the Management System.

The Chief Officer is fully conversant with the Management System.

Is all crew sufficiently conversant with the relevant items of the Management System Safe Working Practices and ISM Requirements?

Have the log books been reviewed including related documentation in Audit report and via Log Book entry?

Have the Gas Detecion Devices been calibrated annually?

(If applicable) Have all Non Compliances and Observations from previous Audits been duly dealt with?

Has the Planned Maintenance System been controlled?

Further Remarks:

ISPS
General

Are Objectives and Policy known as required?

Do Officers/ Engineers know about the Functional Requirements?

Definitions

Do Officers/ Engineers have sufficient knowledge about the Terminology?

Is the "Company" identified?

Application

ISPS Code's correct Application to this Ship?

Are the Flag State's Additional Requirements known?

Is Part B if applicable duly taken into account?

Responsibilities of contracting governments

Is it known who sets the security level for the ship?

Is the Master's Ultimate Responsibility for the ship clearly defined and known?

Is Security Information being exchanged with PFSO?

Is a list of Security COntact Points available?

Are working and restng times sufficiently taken into account in regard to Security Duties?

Declaration of Security

Do SSO/Deputy have sufficient knowledge about the Declaration of Security?

Is there a retention period for Declarations of Security?

Is there a procedure about how to handle requests for a Declaration of Security by a Port Facility?

Is the SSO aware about the circumstances when a Declaration of Security has to be requested?

Obligations of the Company

Is the Master's overriding Authority clearly defined?

Does theCompany provide sufficient support to CSO/Master/SSO?

Is the responsible party for the appointment of shipboard personnel defined?

Is the responsible party for decision about the ship's employment defined?

Are the parties of the charter party including contacts defined?

Ship Security

Officers'/ Engineers' knowledge about the different Security Levels sufficient?

Is it understood that an Acknowledgement of Receipt has to be sent to the Flag State Administration?

Acknowledgement of Receipt of higher Security Level Information and confirmation of Initiation of the Implementation of respective Security Measures according SSP

Cooperation/ COmmunication with PFSO

Ship Security Assessment

IS the Ship Security Assessment avaiable?

Is the Ship Security Assessment being kept confidential?

Are the Flag State's additional requirements fulfilled?

Ship Security Plan

Is the approved SHip Security Plan available?

Is the Ship Security Plan kept confidential?

Are the Flag State's additional reqiorements on SSP fulfilled?

Is the language of the SSP as per requirements?

Is the location of the SSAS ACtivation Points known to key personnel?

If the SSP is available in electronic format - is it kept confidential and protected from tampering with?

Is it clear to the SSO in which case PSC Officer may request to see the SSP itself (instead of only the approval letter)?
Does he know that the PSCO can only be shown the pat of the SSP he has clear grounds to doubt it is being fulfilled?

Is the Effectiveness of the SSP regularly assessed? (SSP-Review available)?

Is it clear how ammendments to the SSP are to be prepared?

Are duties and responsibilities of shipboard personnel with a security role clearly defined?

Is there a procedure for the maintenance of continuous communication in place?

Are procedures to assess the continuous effectiveness of the ship security procedures and equipment including identification of/ resonding to equipment/ systems failure in place?

Is there a procedure to protect security sensitive information in place?

Are there type- and maintenance requirements of security and surveillance equipment systems in place?

Are procedures in place for the submissionn adn assessment of reports relating security breaches or security concerns?

Are procedure in place to keep an inventory of dangerous goods (cargo) and hazardous substances (domestic) carried including their location?

Are procedres in place to control the access to the ship?

Are procedures in place to control the access to restricted areas?

Are procedures in place to control the handling of cargo?

Are procedures in place to control the delivery of ship's stores?

Are procedures in place regarding the handling of unaccompanied baggage?

Are procedures in place ensuring the monitoring of the security of the ship?

Are procedures in place regarding the handling of differing Security Levels?

Are procedures in place regarding activities not covered by the Code?

Records

Is the minimum retention period defined?

Is the confidentiality of records ensured?

Is the language of records defined?

If records are kept in electronic format - are confidentiality and retention of records ensured?

Company Security Officer

Is a Company Security Officer for this ship appointed/ declared?

Are the tasks of the company security officer defined?

Ship Security Officer

Is a Ship Security Officer appointed?

Are the tasks of the Ship Security Officer defined?

Is the Ship Security Officer fully conversant with the Ship Security Plan?

Trainings Drills and Exercises on Ship Security

Is the SHip Security Officer trained (if required Flag STate Approved Training course)?

Is personnel with specific security duties adequately trained?

Has personnel participated in Security Awareness Trainings?

Are Security Drills carried out regularly?

Are security exercises (with the company) carried out regularly?

Verification and Certification for Ships

Valid International Ship Security Certificate available?

Are the results of certification Audits satisfactory?

Date of certification audit

Have changes been taking place in the approved security system?

SOLAS Requirements

Is the Automatic Identification System (AIS) working (V Reg.19)?

Is the ship identification number installed as per rules (XI-1 Reg.3)?

Is the COntinuous Synopsis Record complete (XI-2 Reg.4)?

Are specific company responsibilities complied with (XI-2 Reg.5)?

Is the ship security alert system tested according to the rules (XI-2 Reg.6)?

Assessment Review

Has a Ship Security Assessment been carried out since last Audit?

Are records of the last SSA available?

Are comments/ action on the last SSA-review from CSO available?

Has a SSA-review been carried out in course of this audit (Report prepared and attached)?

Remarks

Remarks

Completion of Audit

The combined audit has been completed. Audit Participants as per attached Audit Participants List.

Date/ Time of Completion
Master's Signature
Auditor's Signature
Please note that this checklist is a hypothetical example and provides basic information only. It is not intended to take the place of, among other things, workplace, health and safety advice; medical advice, diagnosis, or treatment; or other applicable laws. You should also seek your own professional advice to determine if the use of such checklist is permissible in your workplace or jurisdiction.