Audit

1.0 GENERAL

Verify how the company provides for safe practices in ship operation and a safe working environment.

Enter name and title of employee being interviewed and their response: obtain signature.
Enter name and title of employee being interviewed and their response: obtain signature.

Verify the company identifies and assesses risks to its ship, personnel, and the environment.

How does the company take continuous efforts to improve safety management skills of personnel on shore and onboard the ship?

How does the company prepare for emergencies related both to safety and environmental protection?

Enter name and title of employee being interviewed and their response: obtain signature.
Enter name and title of employee being interviewed and their response: obtain signature.

Verify the company's safety management system ensures compliance with mandatory rules and regulations (1.2.3)

Verify Medic inventory matches all medical supplies onboard, check expiration dates of supplies.

Name and title of employee verifying:

Does the company safety management system define levels of authority and lines of communication between and amongst shore and shipboard personnel?

Enter name and title of employee being interviewed and their response: obtain signature.
Enter name and title of employee being interviewed and their response: obtain signature.
2.0 SAFETY AND ENVIRONMENTAL PROTECTION POLICY

Has the company established a safety and environmental protection policy (2.1)

Enter name and title of employee being interviewed and their response: obtain signature.
Enter name and title of employee being interviewed and their response: obtain signature.

Verify if the policy has been implemented onboard generally (2.2):

It shall be displayed conspicuously

Should be signed by top Management to show commitment

Contents shall be made to all crew members

Enter name and title of employee being interviewed and their response: obtain signature.
Enter name and title of employee being interviewed and their response: obtain signature.
3.0 COMPANY RESPONSIBILITIES AND AUTHORITY

Does the operator of the vessel differ from the registered owner?

If different, has the Administration been informed of who is responsible for the operation of the ship (3.1)

Verify that he company and the Master have communicated status on any outstanding MNC or NC's.

Enter name and title of employee being interviewed and their response: obtain signature.

Do the crew members know who is the Security Officer of the vessel is and what his functions are?

Enter name and title of employee being interviewed and their response: obtain signature.
Enter name and title of employee being interviewed and their response: obtain signature.
DESIGNATED PERSON ASHORE ( DPA)

Has the company nominated a DPA (4.0)

Has the DPA been given sufficient training to carry out his duties efficiently, course attendance?

Does the Master know who the DPA is and what his functions are? (3.2)

Enter name and title of employee being interviewed and their response: obtain signature.
Enter name and title of employee being interviewed and their response: obtain signature.

Do crew members know who the DPA is and what his functions are?

Enter name and title of employee being interviewed and their response: obtain signature.
Enter name and title of employee being interviewed and their response: obtain signature.

Is there sufficient evidence to show that the DPA visits the vessel regularly to monitor the SMS? (4.0)(3.3)

Enter name and title of employee being interviewed and their response: obtain signature.
5.0 MASTERS RESPONSIBILITY AND AUTHORITY

Implementing the SMS of the company (5.1.1)

Check to see if there are records to show all crew have read the manual and are familiarized.

Proper filing system for manual and checklist available. (5.1.1)

Enter name and title of employee being interviewed and their response: obtain signature.
Enter name and title of employee being interviewed and their response: obtain signature.

Verify safety meeting minutes

Other in-house training provided by company

Issuing orders in clear and simple manner

Look for Masters standing orders

Engineers standing orders

Night order book

Enter name and title of employee being interviewed and their response: obtain signature.
Enter name and title of employee being interviewed and their response: obtain signature.

Verify that special requirements are observed (5.1.4)

Are the crew using protective gears for their daily work?

Are there records to show that the crew have sufficient rest periods as per STCW requirements?

Has the Master carried out the Master's Review according to SMS procedures? (5.1.5)

Does the SMS clearly define the Master's overriding authority?

Is the Master aware of his overriding authority?

Enter name and title of employee being interviewed and their response: obtain signature.
Enter name and title of employee being interviewed and their response: obtain signature.
6.0 RESOURCES AND PERSONNEL

Is the Master properly qualified for command (6.1.1)

Check the restrictions in the Certificate of Competency against the Safe Manning Certificate (COI)

Certificate must be STCW format

Is the Master fully conversant with the SMS? (6.1.2)

Enter name and title of employee being interviewed and their response: obtain signature.
Enter name and title of employee being interviewed and their response: obtain signature.

The vessel should be manned by qualified , certified and medically fit seafarers. (6.2)

Check certificate of competency for local officers and crew.

Check watch keeping certificate and Best Safety Training (BST) certificate for watch keeping ratings.

Check if crew members have medical certificate.

Check documentation to show that all newly joined crew members are given the proper familiarization in relation to their duties with particular regard to safety, security and environmental protection (6.3)

Check individually familiarization documentation.

Has the familiarization covered relevant rules, regulations, codes & guidelines (6.4)

Master handover notes.

Does the company have any procedures to identify training needs to support the SMS (6.5)

Have the ships personnel received relevant information on the SMS in their working languages (6.6)

The company should ensure the ships personnel are able to communicate effectively in the execution of their duties (6.7)

7.0 DEVELOPMENT OF PLANS FOR SHIPBOARD OPERATIONS

Has the company prepared plans and procedures for preparation of plans, instructions including checklist for key shipboard operations (7.0)

Check and verify entries for arrival/departure checklist

Check and verify entries for permit to work/entry into enclosed space

Verify standing orders or checklist for navigation, change of watch, at anchorage

Verify standing orders or checklist for engine room watchkeeping

Check/ verify passage plan

Verify bunkering checklist.

Verify record of daily tank soundings

Verify record of garbage disposal

Verify records of crew work/ rest hours and composition of watch keepers

Verify checklist for preparation of docking

Verify records of security watch

8.0 EMERGENCY PREPAREDNESS

Does the company SMS provide procedures on how to respond to potential emergency shipboard situations? (8.1)

Collision

Grounding

Fire/ Explosion

Flooding

Man Overboard

Steering gear failure/ power failure

Piracy / Terrorism

Oil Spill

Cargo shift

Bomb search

Enter name and title of employee being interviewed and their response: obtain signature.
Enter name and title of employee being interviewed and their response: obtain signature.

Does the company have a schedule of drills to be carried out?

Are the drills being carried out as planned, past drill records to be verified?

Are the relevant drills being recorded?

The company's organization should be able to respond at any time to an emergency situation, check to see if a table top exercise has been carried out involving office staff (8.3)

Enter name and title of employee being interviewed and their response: obtain signature.
Enter name and title of employee being interviewed and their response: obtain signature.
9.0 NEAR MISSES REPORTS AND ANALYSIS OF NCs, ACCIDENTS, INCIDENTS AND NEAR MISSES

Check that Master is familiar with procedures of reporting nonconformities, accidents, incidents and near misses (9.1)

Verify if Master has accurately been reporting the above.

Verify previous nonconformities, accidents, incidents and near misses (if any)

Have they been closed effectively by the agreed time (9.2)

Was the NC investigated and analyzed in order to improve the standards onboard (9.1)

Enter name and title of employee being interviewed and their response: obtain signature.
10.0 MAINTENANCE OF SHIP AND EQUIPMENT

Verify that maintenance inspections are being held at regular intervals. Check for any gaps in the inspection dates (10.2.1)

Verify that any non-conformity is being reported (10.2.3)

Verify that corrective and preventive actions are being taken in a timely manner (10.2.3)

Records of all maintenance activities up to date

Regular testing and maintenance of stand-by equipment should include but not be limited to:

FFA

Hoses/nozzles/hose box

Extinguishers

Breathing Apparatus

EEBD

Fireman outfits

Emergency fire pump

Main fire pump

Foam applicators

Fixed fire extinguishing system

Fire detection system

Fire flaps/dampers

Fire hydrants

LSA

Rescue boat, davit and falls

Rescue boat engine

Liferafts

Life jackets

Life buoys

Immersion suits

SART

EPIRB (cert for annual testing)

Line throwing apparatus

Quick closing valves

Remote stopping of ventilators

Emergency steering gear system

Navigation lights

Emergency lighting for deck/engine accommodations. (maintenance of batteries included)

Lifting appliances

Communication, w/h-steering-eng. room

High level bilge alarm

Portable gas detectors

Water tight doors

Oily water separator

M/E standby systems including emergency stop, high temp. low pressure

Verify entries and contents of the planned maintenance schedule, standby items above should be included for:

Engine Department

Enter name and title of employee being interviewed and their response: obtain signature.
11.0 DOCUMENTATION

Does the company have procedures to control all documents relevant to the SMS (11.1)

Check to ensure:

Valid documents are available at all relevant locations (11.2.1)

Changes to documents are reviewed and approved by authorized personnel

Obsolete documents are promptly removed (11.2.3)

Is the company SMS kept in a form that is practical and effective?

All documentation relevant to the ship should be carried onboard (11.3)

Enter name and title of employee being interviewed and their response: obtain signature.
12.0 COMPANY VERIFICATION, REVIEW AND EVALUATION

Has the company carried out internal safety audits to verify that the safety and pollution prevention activities comply with the SMS (12.1)

Does the company periodically carry out a management review of the safety management system and timely corrective actions effected (12.2) (12.6)

Result of the audits being brought to the attention of all parties involved? (12.5)

Are the audits and corrective actions being carried out according to documented procedures (12.3)

The auditor should be independent of the area being audited unless this is impracticable due to the size and nature of the company (12.4)

ANNEX 1: DOCUMENTS, PUBLICATIONS, CERTIFICATES AND RECORDS TO BE VERIFIED

OFFICIAL DOCUMENTS:

CLASS

SAFETY CONSTRUCTION

LOAD LINE

SAFETY EQUIPMENT

SAFETY RADIO

IOPP

IAPP

ISSC

TONNAGE

DOC

SMC

RADIO STATION LICENSE

CERTIFICATE OF REGISTRY (COD)

SAFE MANNING CERTIFICATE (COI)

LIFTING APPLIANCES

COFR

CONTINUOUS SYNOPSIS

BRIDGE TO BRIDGE RADIO CERTIFICATE

SHORE BASED MAINTENANCE CERTIFICATE

LRIT

ENGINEERS CERTIFICATES

NAME AND USCG MMC EXP DATE
NAME AND USCG MMC EXP DATE
NAME AND USCG MMC EXP DATE
NAME AND USCG MMC EXP DATE
NAME AND USCG MMC EXP DATE

MUSTER LIST UPDATED AND DISPLAYED

SOLAS TRAINING MANUAL

DECK LOG BOOK

ENGINE LOG BOOK

OIL RECORD BOOK

SOPEP MANUAL

CHARTS AND PUBLICATION

OFFICIAL LOG BOOK

APPROVED STABILITY BOOK/ LETTER

CARGO GEAR CERTIFICATE

COMPASS ERROR BOOK

FIRE FIGHTING & APPLIANCE TRAINING MANUAL

FIRE SAFETY OPERATIONAL BOOKLET

APPROVED FIRE PLAN

IMO NUMBER

AIS

SHIP SECURITY ALERT SYSTEM

ISPS SECURITY MANUAL

CARGO SECURING MANUAL

ROUTE OPERATIONAL MANUAL

CRAFT OPERATIONAL MANUAL

MANUALS FOR EQUIPMENT FITTED ONBOARD

CURRENT CFRS 33 & 46

SOLAS, MARPOL, ISM CODE

FUEL OIL TRANSFER PROCEDURES

EMERGENCY TOWING PROCEDURES

SAFETY MANAGEMENT SYSTEM

ISM INTERNAL AUDIT SUMMARY

CODE. ELEMENT

1. GENERAL

2. HEALTH, SAFETY & ENVIRONMENT

3. COMPANY RESPONSIBILITIES

4. DESIGNATED PERSON ASHORE

5. MASTER'S RESPONSIBILITY & AUTHORITY

6. RESOURCES & PERSONNEL

7. DEVELOPMENT OF PLANS FOR SHIPBOARD OPERATIONS

8. EMERGENCY PREPAREDNESS

9. REPORTS & ANALYSIS

10. MAINTENANCE OF SHIP & EQUIPMENT

11. DOCUMENTATION

12. COMPANY CERTIFICATION, REVIEW & EVALUATION

13. CERTIFICATION & PERIODICAL REVIEW

ADDITIONAL COMMENTS

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.