INTERNAL SMC AUDIT

• TITLE :

• Vessel name:

• Conducted on

  Date

• Auditor :

1. Shipboard tour

1.1 Bridge

• 1.1.1 Are all the navigation or radio equipment working properly ? (ISM 10)

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• 1.1.2 Are updated versions of nautical publications and IAMSAR manual available? (ISM 11.2.1)

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• 1.1.3 Are marine safety information from NAVTEX or EGC reviewed during the Passage Planning issue and checked regularly ? (ISM 7)

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• 1.1.4 Is the OOW familiar with the procedure to send a distress message with the VHF / SSB and Inmarsat ? Are the compulsory informations (MMSI, IMO #..etc.) posted near the GMDSS console?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• 1.1.5 Is the radio license and the shore base maintenance contract available?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• 1.1.6 Are the GMDSS emergency batteries well maintained ( charged , Maintenance recorded ) ?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• 1.1.7 Are nautical charts, ECDIS (EN data) updated and notice to mariners controlled properly? (ISM 7)

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• 1.1.8 Are ship manoeuvring characteristics available on the bridge?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• 1.1.9 Is COLREG code available on the bridge?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• 1.1.10 Are compass deviation curve available and deviation book maintained ?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• 1.1.11 Are ship specific procedures for navigation including emergency situations available on the bridge?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• 1.1.12 Is steering change over and emergency steering procedures quickly available?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• 1.1.13 Are standing orders or night orders issued when necessary by the master? (ISM 7)

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

1.2 Accommodation Space

• 1.2.1 Are muster list posted in bridge, ER and accommodation updated? (ISM 8.2)

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• 1.2.2 Is SOLAS training manual available and consistent ? (ISM 8.2)

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• 1.2.3 Is posted placard for garbage disposal written in language understand by the crew? (ISM 6.6)

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• 1.2.4 Are there distinctively marked garbage receptacle to received garbage for recycling ? ( ISM 6.6)

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• 1.2.5 Is watch schedule for watch keeper issued ( posted or sent by email ) ? (ISM 7, MLC)

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• 1.2.6 Is the galley clean and cooker hood free of grease?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• 1.2.7 Are cold rooms clean, well organised, free of carton and at good temperature (+5c max) ?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• 1.2.8 Are freezer rooms clean, well organised, free of carton and at good temperature (-18c Mim)?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• 1.2.9 Is a system fitted in cold room and freezer not to be locked in?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• 1.2.10 Are all the watertight doors and associated alarms operatives in automatic and manual mode?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• 1.2.11 Are crew members ( random check ) able to close watertight doors in automatic and manual mode?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• 1.2.12 Are all escape ways free of encumbrance and easily usable?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• 1.2.13 Are medicaments properly controlled? (ISM 7)

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

1.3 On Deck

• 1.3.1 Are the load line marks out of the water and well marked ?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• 1.3.2 Are access to the vessel safe and in good condition?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• 1.3.3 Are gangway, cranes and other lifting appliances marked with corresponding SWL?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• 1.3.4 Are garage and tender/toys storage in good order and free of any leakage?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• 1.3.5 Are all transom doors and hull opening reported in good condition and watertight?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• 1.3.6 Are the closing appliances, LSA, and FFA ( life rafts, rescue boat, quick closing valves, fire dampers , fire hoses ....) maintained properly? (ISM 10)

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• 1.3.7 Do coating / painting of hull parts and equipment look well maintained ? (ISM 10)

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• 1.3.8 Are there any damaged / corroded hull parts or equipment? (ISM 10)

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• 1.3.9 Are hazardous products lockers in good order, free of leakage and associated MSDS available ?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• 1.3.10 Are there any temporary repairs identified or reported ? (ISM 10)

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

1.4 Engine room

• 1.4.1 Are the ER and bilges clean and free of oil leakage?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• 1.4.2 Are all equipment and machineries fully operative? (ISM 10)

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• 1.4.3 Are escape route and escape trunk safe, accessible and free of encumbrance ? (ISM 10)

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• 1.4.4 Are oil records book and ER log book correctly filled and signed?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• 1.4.5 Are chief engineer standing orders available, read and signed ?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• 1.4.6 Are overboard discharge valves (OWS, bilge, sewage...) identified by the engineer and closed?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• 1.4.7 Are quick closing valves in good condition and working properly?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• 1.4.8 Are emergency stop working properly and tested regularly?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• 1.4.9 Is the emergency generator working properly and tested regularly?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• 1.4.10 Is the emergency fire pump working properly and tested regularly?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• 1.4.11 Are the placard "Discharge of oil prohibited" posted in ER and ECR? (USA compulsory)

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• 1.the emergency bilge pump and associated valves clearly marked?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Are piping drawing and procedure for fuel transfer posted near transfer control valves? (USA compulsory)

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Are instructions for steering changeover and emergency steering posted? (ISM 8.2)

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

1.5 Interview with officers and/or crew

• Interview with officer and/or rating for DECK.

• Interview with officer and/or rating for ENGINE

• Interview with officer and/or rating for CATERING

• When did they join?

• Did he undergo familiarisation training just after joining? (ISM 6.3)

  Yes

  No

  N/A

• Was essential instruction given prior sailing? (ISM 6.3)

  Yes

  No

  N/A

• When did he last participate in an abandon ship drill?

• Does he know his assigned duties in emergency?

  Yes

  No

  N/A

• Does he know how donning and use fireman outfit, immersion suit and/or breathing apparatus including EEBD?

  Yes

  No

  N/A

• Does he understand what alarm signals may sound in emergency?

  Yes

  No

  N/A

• Have there been any accidents or hazardous occurrence ?

  Yes

  No

  N/A

2. Interview with the master

2.1 Statutory certificates and survey records

• Are valid statutory certificates, continuous synopsis record ( CSR) and survey records available on board?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Are the previous flag survey Deficiencies and/or observations closed?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

2.2 Classification certificates and records

• Are valid Classification certificates and records available on board?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Are classification certificates clean of CoC or memoranda ?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

2.3 Crew certificates and documents

• Does every seafarer hold a valid medical certificate?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Is the ship manned in compliance with the minimum manning certificate?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Does each crew members hold a certificate of competency according to their duty and in accordance with STCW?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Does each crew members hold a seamen or discharge book?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Are crew with a STCW or MCA certificate holding the corresponding endorsement according to ship flag?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Are all the original copies of crew certificates and documents available on board?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Are all crew working/ rest hours recorded and according MLC requirement ?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

2.3 Log and record books

• Are necessary items entered in bridge log book as per SOLAS requirements?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Are necessary entries made to oil records book?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Are the necessary entries made to the garbage records book?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Is SEEMP in force and necessary entries made regularly?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

3 Company responsibility

• Is the company indicated on DOC identical with the owner or the entity reported according to the ISM Code 3.1 ?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

4 Duty of Designated person

• Are the monitoring activities by the DPA on the safety and pollution aspect found sufficient ?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Is the DPA known by officers and crew?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Is the role of DPA known by officers and crew?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

5 Master's responsibility and authority

• Is the master familiar with his responsibilities and authority required by ISM code section 5?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Has the master implemented the safety and environmental protection of the company?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Has the master reviewed the SMS and reported its deficiency to the company?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Is the master aware of the overriding authority and the authority to request company's assistance ensured under the ISM code?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Has the master carried out Risk Assessment according to SMS procedures established by the company?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

6. Resources and Personel

• Is the master familiar with company's SMS resources and personel policy?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Have on board training and instruction been conducted as per the manual/procedures?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Have newly joined crew members received the familiarisation training required by STCW?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Have the newly joined crew members received the familiarisation training required by SOLAS within 2 weeks after joining?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Are SMS related documents given in a language understood by ship crew?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Is the master's SMS awareness on acceptable level? ( to be judged at the end of audit)

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

7. Key shipboard operations

• Have the shipboard operations been carried out as per company's SMS?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Have operations during departure and arrival performed as procedures and requested data ( crew list, departure/arrival notification.etc.) sent to the company?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Are daily reports I.e. Noon position, course and speed , etc. sent to the company as per procedures?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Have pollution prevention operations performed as per procedures?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Have special operations identified been performed as per procedures?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Have the following watch keeping operations been performed as per procedures?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Rest hours respected

  Yes

  No

  N/A

• Alcohol policy enforced

  Yes

  No

  N/A

• Voyage planning (prior voyage, berth to berth, verification and display of planned route, deviation from planned route..)

  Yes

  No

  N/A

• Watches carried out based on the bridge resources management and navigational/weather conditions

  Yes

  No

  N/A

8. Emergency preparedness

• Has the ship been ready for emergency situations identified?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Has the company provided the ship with updated emergency contact list?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Is the master familiar with procedures to respond emergency situation identified?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Have drills and exercise for emergency situations identified been conducted as per procedures and schedule?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Does radio personnel aware of how to transmit distress alert under GMDSS?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Is SOPEP properly controlled with the latest emergency contact list?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Are the ship specific emergency towing booklet controlled?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Has the ship encountered a sea casualty and/or serious human injury since last periodical audit?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

9. Deficiency control

• Have all deficiencies been dealt with in accordance with the company SMS?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Have the ship been controlled by PSC since last audit?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Are all PSC records kept on board?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Have any deficiencies identified at inspections by third parties since last audit?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Have all NCs, accident and hazardous occurrences which were to be reported, been informed to the company?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Has the company responded to the deficiencies reported?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Have corrective actions to the deficiencies reported been taken?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

10. Maintenance

• Is the ship maintained in accordance with the relevant rules and regulations?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Has maintenance for ship and equipment been carried out as per PMS or plan established?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Have maintenance works performed been properly recorded?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Are critical equipment identified in ship PMS ?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Have specific measures for critical and identified equipment been taken as per procedures?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Are the "maintenance manuals and associated documents" for lifeboats and launching appliances prepared by the manufacturer or service provider available ?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Have weekly/monthly inspections and routine maintenance for lifeboats and launching appliances been conducted in accordance with manufacturer instructions under supervision of senior officer?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Are the records of inspection, servicing, repairs and maintenance for lifeboats and launching appliances signed by the person who carried out the work?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Is there any technical deficiency which as been reported to the company?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Has the company responded to the deficiency reported?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Have the corrective action to the deficiency reported been taken?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Have some deficiencies during shipboard tour by auditor been found ?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• During his inspection, was the vessel free of any deficiencies that the crew were unaware of?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Have these deficiencies been reported to the company?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Is the vessel free of overdue maintenance tasks?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Is the vessel free of any overdue maintenance tasks for critical or identified equipment?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

11. Document control

• Are all documents and data controlled as per company's SMS?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Are ship's SMS manuals of updated version?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Have revisions of the SMS manuals properly recorded?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Have obsolete documents been properly removed?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Are the SMS manuals available at all relevant locations?<br>

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Have the company's circular letters or information been filed properly and easily identified?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

12. Internal audit and system review

• Are the internal audit carried out as per company's SMS?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Have internal audit records been kept on board the ship?

  YES

  NO

  N/A

  NON COMFORNITY

  OBSERVATION

• Have NC been raised during this audit?

  Yes

  No

  N/A

Conclusion and/or specific remarks

• Auditor's signature :

  Sign

• Captain's signature :

  Sign

• Receipt date

  Date