Combined Internal ISM ISO ISPS Audit -F.L.

• Audit Title

• Document No.

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

INTERNAL ISM AUDIT CHECKLIST

ISM

Health, Environmental Protection, Safety and Quality Management System

• Is the Fleet Manual version 1/2013 known to the crew and followed accordingly?<br>Is it known which version is the controlled version and which are the non controlled version?

  Yes

  No

  N/A

• Are the effective statutory certificates and survey records available on board?

  Yes

  No

  N/A

• Is the validity of statutory certificates i.o. And if not is the Company informed as per procedures?

  Yes

  No

  N/A

• Is the class certificate properly endorsed?

  Yes

  No

  N/A

• Are classification survey records maintained properly?

  Yes

  No

  N/A

• Is the vessel manned in compliance with the safe manning document?

  Yes

  No

  N/A

• Does each Master and Officer hold an appropriate cert. in accordance with STCW ( or dispensation)?

  Yes

  No

  N/A

• Is the procedure followed about the control of the documents in the HESQ system? Are the hard copy FM kept up to date ?

  Yes

  No

  N/A

• Are the nautical charts and Notice to Mariners controlled properly? (ISM Code 1.2.3.1 / 7)

  Yes

  No

  N/A

• Are records kept as per Company Procedures?

  Yes

  No

  N/A

Human Resources

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

  Yes

  No

  N/A

• Is personnel appraised in regular intervals? <br>Who appraises?<br>What is the appraisal criteria?

  Yes

  No

  N/A

• If apprentices/ cadets on board: are training record books available, kept, and signed by the Master?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• Is the procedure about Change of Command clearly understood? (Hand over the watch/ Handing over of Functions)

  Yes

  No

  N/A

• Are SOLAS Training Manual and Fire Operational Booklet available in the mess room? Are the ship specific chapters filled out?

  Yes

  No

  N/A

• 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)

  Yes

  No

  N/A

• 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)

  Yes

  No

  N/A

Infrastructure and Work Environment

• Procedure about entering tanks and other confined spaces

  Yes

  No

  N/A

• Procedure about Hot Work

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• Regular checking on gangways and accommodation ladders

  Yes

  No

  N/A

• Maintenance of Ship, Engine and Equipment

  Yes

  No

  N/A

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

  Yes

  No

  N/A

Purchasing

• Internal Requisitioning

  Yes

  No

  N/A

• External Purchasing

  Yes

  No

  N/A

• Receiving goods and reporting to the office.

  Yes

  No

  N/A

• Are newly assigned crewmembers properly familiarised?<br>Is a Safety Familiarisation carried out for all on-signing crew?<br>Are the specific familiarizations carried out for nautical/ technical officers?

  Yes

  No

  N/A

Service Provisions

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• Are procedures in regard to Loading and Discharging Operations avalable and understood?

  Yes

  No

  N/A

• Are procedures in place in regard to treatment and supervision of cargo?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• Is everybody aware about the procedure regarding Environmental Protection? (MARPOL V Company Letter)

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• Is the Shipboard Working Arrangements clear, up to date, and in compliance with work/ rest time calculations?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• Are storage areas defined and kept tidy?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

Monitoring and Measuring

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

  Yes

  No

  N/A

• Are technical inspections being carried out by the Superintendant twice a year?

  Yes

  No

  N/A

• Date and place of last 2 visits by technical superintendant?

  Date

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

  Yes

  No

  N/A

• 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?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• Are officers aware about external Class /Flag surveys and how an external surveyor is to be treated?

  Yes

  No

  N/A

Internal Audits

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

  Yes

  No

  N/A

• When was the last internal Audit carred out?

  Date

• 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?

  Yes

  No

  N/A

Control of Non Conformity

• Is everybody on board aware, that deficiencies have to be reported? <br>In GLSM compliance module.

  Yes

  No

  N/A

• Date of the last PSC:

  Date

• Place and Result of the last PSC

• Date of the Last Flag State Inspection

  Date

• Place and Result of the last Flag State Inspection

• Date of last external ISM audit

  Date

• Place and Result of last External ISM audit

• Date of last External MLC-2006 audit

  Date

• Place and Result of last external MLC-2006 audit.

• Is the class status of the vessel valid?

  Yes

  No

  N/A

• Date of last Class Survey statement

  Date

• What is the number of the last Class Survey statement and what are the open items?

• Are damages and claims properly reported and followed up?

  Safe

  At Risk

  N/A

Analysis of Data

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

  Yes

  No

  N/A

Improvement

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• Has the Emergency Telephone Number been tested successfully?

  Date

• Who answered the Emergency Call?

Certification Verification and Control

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

  Yes

  No

  N/A

• Are the results of the external ISM audits available and satisfactory? If not NCN follow report numbers to be named.

  Yes

  No

  N/A

• Last external ISM Audit carried out on:

  Date

• If NCN's or Observations were issued is a proper follow up done in GLSM Compliance module done?<br>Please report GLSM report numbers.

  Yes

  No

  N/A

Environmental Protection

• Are environmental objects and program available?

  Yes

  No

  N/A

• Are environmental aspects available?

  Yes

  No

  N/A

• Are environmental targets available and understood?

  Yes

  No

  N/A

Remarks

• The Master is fully conversant with the HESQ System

  Yes

  No

  N/A

• The Chief Engineer is fully conversant with the HESQ System.

  Yes

  No

  N/A

• The Chief Officer is fully conversant with the HESQ System.

  Yes

  No

  N/A

• Is all crew sufficiently conversant with the relevant items of the HESQ System Safe Working Practices and ISM Requirements(on their level)?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• Have the Gas Detecion Devices been calibrated annually?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• Has the Planned Maintenance System been controlled?

  Yes

  No

  N/A

• Further Remarks:

ISPS

General

• Are Objectives and Security Policy known as required?

  Yes

  No

  N/A

• Do Officers/ Engineers know about the Functional Requirements?

  Yes

  No

  N/A

Definitions

• Do Officers/ Engineers have sufficient knowledge about the Terminology?

  Yes

  No

  N/A

• Is the "Company" identified?

  Yes

  No

  N/A

Application

• ISPS Code's correct Application to this Ship?

  Yes

  No

  N/A

• Are the Flag State's Additional Requirements known?

  Yes

  No

  N/A

• Is Part B if applicable duly taken into account?

  Yes

  No

  N/A

Responsibilities of contracting governments

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• Is Security Information being exchanged with PFSO?

  Yes

  No

  N/A

• Is a list of Security Contact Points available?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

Declaration of Security

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

  Yes

  No

  N/A

• Is there a retention period for Declarations of Security?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

Obligations of the Company

• Is the Master's overriding Authority clearly defined?

  Yes

  No

  N/A

• Does the Company provide sufficient support to CSO/Master/SSO?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

Ship Security

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

  Yes

  No

  N/A

• Are the parties of the charter party including contacts defined?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• Cooperation/ Communication with PFSO

  Yes

  No

  N/A

Ship Security Assessment

• Is the Ship Security Assessment available?

  Yes

  No

  N/A

• Is the Ship Security Assessment being kept confidential?

  Yes

  No

  N/A

• Are the Flag State's additional requirements fulfilled?

  Yes

  No

  N/A

Ship Security Plan

• Is the approved Ship Security Plan available?

  Yes

  No

  N/A

• Is the Ship Security Plan kept confidential?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• Is the language of the SSP as per requirements?

  Yes

  No

  N/A

• Is the location of the SSAS Activation Points known to key personnel?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• Are procedures in place for the submission and assessment of reports relating security breaches or security concerns?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• Are procedures in place to control the access to the ship?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• Are procedures in place to control the handling of cargo?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• Are procedures in place regarding the handling of unaccompanied baggage?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

Records

• Is the minimum retention period defined?

  Yes

  No

  N/A

• Is the confidentiality of records ensured?

  Yes

  No

  N/A

• Is the language of records defined?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

Company Security Officer

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

  Yes

  No

  N/A

• Are the tasks of the company security officer defined?

  Yes

  No

  N/A

Ship Security Officer

• Is a Ship Security Officer appointed?

  Yes

  No

  N/A

• Are the tasks of the Ship Security Officer defined?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

Trainings Drills and Exercises on Ship Security

• Is the Ship Security Officer trained (if required Flag State Approved Training course)?

  Yes

  No

  N/A

• Is personnel with specific security duties adequately trained?

  Yes

  No

  N/A

• Has personnel participated in Security Awareness Trainings?

  Yes

  No

  N/A

• Are Security Drills carried out regularly?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

Verification and Certification for Ships

• Valid International Ship Security Certificate available?

  Yes

  No

  N/A

• Are the results of external Audits satisfactory?<br>

  Yes

  No

  N/A

• Date of last external ISPS audit

  Date

• Have changes been taking place in the approved security system?

  Yes

  No

  N/A

SOLAS Requirements

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

Assessment Review

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

  Yes

  No

  N/A

• Are records of the last SSA available?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

Remarks

• Remarks

Completion of Audit

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

• Date/ Time of Completion

  Date

• Name auditor

• Auditor's Signature

  Sign

• Name Master

• Master's Signature

  Sign