Livestock Internal ISM, MLC & ISPS Audit (version March 2016)

• Document No.

• Vessel

• Add media

  Media

• Lead Auditor

• Conducted on

  Date

• Second Auditor

• Masters Name

• Location
  Address

ISM Internal Checklist

Bridge

• ISM 001 Are all policies signed by the current MD?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 002 Are the vision, Mission and Golden Rules posted in a prominent place onboard?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 004 Is there evidence of Shipboard inductions taking place?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 008 Is the Emergency contact lists (SOPEP, security, ERT) available and up to date?

  In Order

  Obs

  NC

  N/A

  not seen

• Is a muster station list and emergency instructions posted on the bridge and up to date?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 009 Is the drill summary up to date and entered int the logbook (evidence of drill evaluation)?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 010 Is the garbage record book kept up to date and completed correctly? (Disposal record and positions of discharging food waste over board (aligned with Ecdis)?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 011 Do the waste receipts match the quantities stated in the garbage record book?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 012 Are expired Medicines / Pyrotechnics disposed in the correct way (evidence, statement in garbage record book)?

  In Order

  Obs

  NC

  N/A

  not seen

• Does the vessel have an up to date list of certification (trading certificate, SMC, DoC, ISSC, CSR, life boat fall wire)? (Name, company ID,address of company and ship type should be the same)<br>

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 016 Has a Management of Change been carried out? and completed correctly

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 019 Has the Masters review been carried out by the Master?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 020 Has the vessel received feedback from the office on the Masters Review (Minutes of the of the ISM Management review)?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 022 Are the last 2 QHSE Minutes available, along with acknowledgement from the office?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 024 Have all permits been completed correctly (hot work, enclosed space etc). Check timings, signed and approved, not computer filled in.

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 031 Is the enclosed space register up to date? Alignment with permits, monitoring people in and out.

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 026 Is there Evidence of Lock out / Tag our being put in place for isolations during permits? (Breakers, pad locks, other barriers)

  In Order

  Obs

  NC

  N/A

  not seen

• Have all accidents, Near Misses, NCRs been closed out by the vessel or office? (Check a recent accident, ask for the Q1 report).

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 033 Does the Bridge and the Deck RA File adequately cover the tasks, are they of an acceptable standard and have they been reviewed in the past 12 Months?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 034 Is the Master aware of the Heavy Weather checklist and adverse weather procedure? (Last date of heavy whether, was the checklist used)?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 035 Is there a completed pre arrival and pre departure checklist and is there an entry in to the log book stating the same?

  In Order

  Obs

  NC

  N/A

  not seen

• Are departure and arrival stability calculations made?

  In Order

  Obs

  NC

  N/A

  not seen

• Are departure stability calculations submitted to AMSA, signed by the master prior to departure?

  In Order

  Obs

  NC

  N/A

  not seen

• Have the Master published his Standing Orders and is this signed by the Deck Officers?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 037 Has the night order book been completed each night and signed by the Deck Officers?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 038 Has the checklist pilotage been completed?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 039 Does the passage plan include Berth to Berth Info? (Either on the passage plan or referenced to pilotage plan)

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 040 Has a passage plan appraisal taken place?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 041 Are all charts & Publications (including T&P, Rig List & Nav Area Warnings) up to date, check sample?<br>- charts<br>- sailing directions<br>- list of lights<br>- ALRS

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 042 Is all bridge equipment in working order?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 043 Is the Giro deviation determined (azimuth with deviation of magnetic compass)?

  In Order

  Obs

  NC

  N/A

  not seen

• When was the last compass error taken? (magnetic compass adjustment certificate posted, compass deviation curve)?

  In Order

  Obs

  NC

  N/A

  not seen

• Manoeuvring data posted on the bridge?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 045 Is the AIS static data correct and up to date?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 046 When was the Emergency steering last tested? Is it in accordance with SBM / Rules and Regs?

  In Order

  Obs

  NC

  N/A

  not seen

• Has an officer other than the master been nominated to handle communication during an emergency?

  In Order

  Obs

  NC

  N/A

  not seen

• Poster GMDSS Operating Guidance for master's of ships in distress situations displayed at GMDSS station?

  In Order

  Obs

  NC

  N/A

  not seen

• Watch schedule posted?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 050 Has a tool box meeting record card been completed for any "non routine operations"?

  In Order

  Obs

  NC

  N/A

  not seen

• Is there an alarm book for UMS? (Check with the alarm book in the engine room).

  In Order

  Obs

  NC

  N/A

  not seen

• Is the UKC guidance followed as per SMS?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 051 Is the hours of rest completed and signed by the seafarer and the Master?

  In Order

  Obs

  NC

  N/A

  not seen

Master

• ISM 052 Can the Master show how the vessel is kept in compliance with statutory requirements between surveys?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 053 Is the Master aware of his responsibilities with regards to onboard discipline?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 054 Is the Master aware of where to find his guidance on his overriding authority?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 056 Has a full & complete set of handover notes been completed by the off signing Master?

  In Order

  Obs

  NC

  N/A

  not seen

• Is the master familiar with the IAMSAR procedures?

  In Order

  Obs

  NC

  N/A

  not seen

• Are toolbox meetings carried out and documented?

  Yes

  No

  N/A

• Is the original copy of all officers COC available on board?

  In Order

  Obs

  NC

  N/A

  not seen

• Is the random D&A test done + evidence?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 057 Are crew appraisals being carried out as per SBM?

  In Order

  Obs

  NC

  N/A

  not seen

Chief Officer

• ISM 058 Is the Chief Officer aware of his responsibilities?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 059 Has a full & Complete set of handover notes been completed by the off signing Chief Officer?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 060 Are the records of the Salinity maintained (salinity logbook, 4 hours interval)?

  In Order

  Obs

  NC

  N/A

  not seen

• Are the ballast and fresh water tanks weekly sounded for stability calculations?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 061 Does the R.O. automatic alarm system work?

  In Order

  Obs

  NC

  N/A

  not seen

• Are you familiar with the operation of SVDR and when to activate accident recording?

  In Order

  Obs

  NC

  N/A

  not seen

safety Officer

• ISM 062 Is the Safety Officers Inspection reports available for previous voyage?

  In Order

  Obs

  NC

  N/A

  not seen

• Are fire plans available correctly positioned and is the crew list updated?

  In Order

  Obs

  NC

  N/A

  not seen

• Is there a record of inspection and maintenance of LSA/FFA available?

  In Order

  Obs

  NC

  N/A

  not seen

• Is there evidence that lifeboats of the last launch date?

  In Order

  Obs

  NC

  N/A

  not seen

• Are life jackets being checked during boat drills?

  In Order

  Obs

  NC

  N/A

  not seen

Engine Room

• ISM 063 Is the Oil Record Book maintained correctly and up to date?

  In Order

  Obs

  NC

  N/A

  not seen

• Is the OWS system effectively inspected, tested and maintained in accordance with the PMS? when was the last test carried out?

  In Order

  Obs

  NC

  N/A

  not seen

• Is the OWS alarm set on 15ppm and is it tested? (Do Engineers know how to calibrate?)

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 064 Is the OWS discharge valve and Emergency Bilge suction valve secured but not with padlock?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 068 Does the Engine Room Risk Assessment File adequately cover the tasks, are they of an acceptable standard and have they been reviewed in the past 12 months?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 069 Is there a completed (specific) ER Pre-arrival pre-departure checklist and is there an entry into the log book stating the same? (Check previous voyages)

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 070 If bunkering is taking place, is it being followed as per SBM? (Bunkering file, MSDS, samples + testing results)

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 071 Does the engine-room log book, oil record book and bunker receipts tally?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 072 Has the bunkering checklist been completed correctly? (If not all items are filled in, ask why).

  In Order

  Obs

  NC

  N/A

  not seen

• Is there an alarm book for UMS (how do the alarms in this book relate to the records in the bridge UMS alarm book)

  In Order

  Obs

  NC

  N/A

  not seen

• Is a list available showing the critical equipment (Ships Specific) and does the PMS highlight this equipment?

  In Order

  Obs

  NC

  N/A

  not seen

Chief Engineer

• ISM 075 Has the Chief Engineers Hand Over Checklists been completed by the off signing Chief Engineer?

  In Order

  Obs

  NC

  N/A

  not seen

• Are night orders in the night order book?

  In Order

  Obs

  NC

  N/A

  not seen

• Have you issued Chief Engineer Standing Orders (posted in Control Room)?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 078 Is the planned Maintenance System being fully utilised and completed correctly?

  In Order

  Obs

  NC

  N/A

  not seen

• Is there sufficient capacity remaining in the sludge and/or bilge water tanks for the intended voyage?

  In Order

  Obs

  NC

  N/A

  not seen

• Are fuel tanks sounded weekly for stability calculations? (Check records in sounding book)

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 080 Are all defects reported to the company as per SBM? (Ask for current reported problems)

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 081 Does the company respond with in an acceptable time frame as per the SBM with regards to defect or repairs?

  In Order

  Obs

  NC

  N/A

  not seen

• Has a test run of all:<br>- ventilation system<br>- dung pumps<br>- the primary and secondary source of power generators<br>- primary and secondary freshwater pumps <br>carried out before arrival in the load port?

  In Order

  Obs

  NC

  N/A

  not seen

• Are there any overhaul intervals increased in running hours beyond the makers instructions (written authorisation by Superintendent must be onboard)? (Overdue maintenance, SI informed and approved?)

  In Order

  Obs

  NC

  N/A

  not seen

• Has a minimal spares list been drawn up (are these spares available on board)? (AMOS)

  In Order

  Obs

  NC

  N/A

  not seen

Galley/Cook

• ISM 083 Has a full and complete set of handover notes been completed by the off going cook? and is a sample available from previous voyages?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 086 Has the cook completed the galley cleaning schedule and does the galley appear clean and tidy?

  In Order

  Obs

  NC

  N/A

  not seen

• Are the:<br>- store list up to date?<br>- provisions list up to date?<br>- menu list up to date?<br>- store fridges clean and tidy?<br>- extractor fan cleaned on regular basis?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 087 Has the cook completed the product temperature monitoring form for previous voyages?

  In Order

  Obs

  NC

  N/A

  not seen

Bosun/crew

• ISM 088 Is the Bosun aware of his responsibilities?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 092 Are the Senior Officers aware of their responsibilities during an emergency?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 094 Is the crew aware of the contents of the Company Policies and do they abide by them?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 095 Are crew members aware of where to find their Job Descriptions?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 096 Are all crew aware of their responsibilities during an Emergency?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 097 Can the crew contact the DPA and deputies?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 098 Do all crew demonstrate a good understanding of the control of work procedures?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 023 Are the crew fully aware of the enclosed space entry procedures?

  Yes

  No

  N/A

• ISM 099 Has the SBM been signed by all crew members? (Take a sample, check knowledge)

  In Order

  Obs

  NC

  N/A

  not seen

Walk Around

• ISM 101 Is the Muster List Posted in a prominent place and updated with the crew onboard?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 102 Are recycling points available throughout the vessel and does the crew utilise them?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 104 Are all bins in the Engine Room made of Non Combustable Material?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 105 Is there a designated holding area for special waste?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 106 Is the PPE Matrix Posted and is it being followed by the crew?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 028 Are there MSDS sheets available (Paint store)?

  Yes

  No

  N/A

• ISM 107 Are all potable water filling points painted blue and labelled as per SBM?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 108 Are the Anchors (or 1 x anchor) cleared and ready for use?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 109 Is the gangway safe, accessible?

  In Order

  Obs

  NC

  N/A

  not seen

• ISM 110 Is the hours of work schedule posted (And does it reflect MLC)

  In Order

  Obs

  NC

  N/A

  not seen

ISPS Internal Audit Checklist (Ship Security Officer)

• ISPS 001 Is there a copy of a Valid DOC Onboard?

  In Order

  Obs

  NC

  N/A

  not seen

• ISPS 002 Does the vessel have a valid International Ships Security Certificate?

  In Order

  Obs

  NC

  N/A

  not seen

• ISPS 003 Is the Company Name and Address in the SSP same as in the SMC and DOC?

  In Order

  Obs

  NC

  N/A

  not seen

• ISPS 004 Are CSR/SMC/DOC Certificates available and complete (CSR with form 2and 3)?

  In Order

  Obs

  NC

  N/A

  not seen

• ISPS 005 A9.7 Is the SSP kept in a secure location?

  In Order

  Obs

  NC

  N/A

  not seen

• ISPS 006 Are the Company Contact Details correct in the SSP / Is the name of the CSO Correct?<br>

  In Order

  Obs

  NC

  N/A

  not seen

• ISPS 008 A11.1 Is the CSO clearly identified in the SSP?

  In Order

  Obs

  NC

  N/A

  not seen

• ISPS 009 A 12 Do the crew know who the Ships Security Officer is?

  In Order

  Obs

  NC

  N/A

  not seen

• ISPS 010 A13.2 Does the Ships Security Officer have knowledge and has he received training in accordance with part A of the ISPS Code?

  In Order

  Obs

  NC

  N/A

  not seen

• Is there an actual list of the last 10 ports?

  In Order

  Obs

  NC

  N/A

  not seen

• Part B.9 Access Control

• ISPS 011 B9.11 Are all visitors to the vessel being asked for proof of Identity?

  In Order

  Obs

  NC

  N/A

  not seen

• ISPS 013 B9.11 Is the Visitors Log being maintained?

  In Order

  Obs

  NC

  N/A

  not seen

• ISPS 014 B10/9.18 Are all restricted areas on the vessel identified?

  In Order

  Obs

  NC

  N/A

  not seen

• ISPS 015 Is the location of the vessel reception clearly marked?

  In Order

  Obs

  NC

  N/A

  not seen

• ISPS 016 B9.14.8 Are all visitors receiving a Security and Safety Induction?

  In Order

  Obs

  NC

  N/A

  not seen

• Part B.9 Security Levels

• ISPS 018 Is the current Security Level being displayed?

  In Order

  Obs

  NC

  N/A

  not seen

• ISPS 019 Is the vessel able to interface with the port facility and raise a DOS?

  In Order

  Obs

  NC

  N/A

  not seen

• ISPS 021 Can the SSO State the implemented changes that would be required should the vessel be advised to increase Security Levels?

  In Order

  Obs

  NC

  N/A

  not seen

• ISPS 022 Is the SSAS Test being conducted at quarterly intervals?

  In Order

  Obs

  NC

  N/A

  not seen

• ISPS 023 Does the vessel keep a record of all SSAS Tests and confirmation from the office?

  In Order

  Obs

  NC

  N/A

  not seen

• ISPS 024 B9.34 Are ships stores being checked against their documentation prior to loading on the vessel?

  In Order

  Obs

  NC

  N/A

  not seen

• ISPS 025 B9.34 Does the SSP detail the Security Measures to take prior to loading stores at differing security levels?

  In Order

  Obs

  NC

  N/A

  not seen

• ISPS 026 B9.38 Does the SSP detail how to deal with Unaccompanied Baggage?

  In Order

  Obs

  NC

  N/A

  not seen

• ISPS 027 B9.42 Does the vessel have means by which to monitor the vessel? (CCTV, Safety/security rounds, gangway watch, etc.)

  In Order

  Obs

  NC

  N/A

  not seen

• ISPS 028 Are Security Patrols being recorded in the Deck Log Book?

  In Order

  Obs

  NC

  N/A

  not seen

• ISPS 029 Are regular Stowaway Searches being conducted?

  In Order

  Obs

  NC

  N/A

  not seen

• ISPS 030 Are stowaway searches being recorded in the Deck Log Book?

  In Order

  Obs

  NC

  N/A

  not seen

• ISPS 031 A8.1 Are Security Drills being conducted in accordance with the SSP?

  In Order

  Obs

  NC

  N/A

  not seen

• ISPS 032 Is there a record of the last Ship to Shore exercise using outside agencies?

  In Order

  Obs

  NC

  N/A

  not seen

• ISPS 034 Are the crew aware of the current Security Level and what it means?

  In Order

  Obs

  NC

  N/A

  not seen

• ISPS 035 A7.2.7 AreSecurity Contact list readily available?

  In Order

  Obs

  NC

  N/A

  not seen

• ISPS 036 A6.1 Does the vessel know how to contact the CSO?

  In Order

  Obs

  NC

  N/A

  not seen

• ISPS 037 A5.1 Are there records kept of Security Threats and Incidents? Breaches of Security? Changes in Security Levels?

  In Order

  Obs

  NC

  N/A

  not seen

• ISPS 038 A7.1 Is the SSO able to detail what Security Equipment is held onboard?

  In Order

  Obs

  NC

  N/A

  not seen

• ISPS 39 Are there any records of Security Equipment Maintenance?

  In Order

  Obs

  NC

  N/A

  not seen

• ISPS 040 A10.1 Has the Security Plan been reviewed in the past 12 months, with an office reply?

  In Order

  Obs

  NC

  N/A

  not seen

MLC 2006

• Is the following documentation available onboard and up to date?<br>- MLC 2006<br>- DMLC part I and II<br>- 2 copies of the recent MLC inspection (master and public place)

  In Order

  Obs

  NC

  N/A

  not seen

• Is the manning level in accordance with minimum safe manning document?

  In Order

  Obs

  NC

  N/A

  not seen

• Are the crew documents in compliance with the latest mandatory requirements (Flag/statutory, COC, medicals, fire fighting etc.)

  In Order

  Obs

  NC

  N/A

  not seen

• Have all seafarers a Contract of Employment?

  In Order

  Obs

  NC

  N/A

  not seen

• Is there a table of shipboard working arrangements for all positions in a public place?

  In Order

  Obs

  NC

  N/A

  not seen

• Are Work and Rest hours maintained on daily basis?

  In Order

  Obs

  NC

  N/A

  not seen

• Are Flag regulations regarding repatriation available onboard?

  In Order

  Obs

  NC

  N/A

  not seen

• Check:<br>- accommodation space clean and in good state of repair?<br>- is an inspection round conducted and are records maintained?<br>- are sanitary facilities accessible, hygienic and working correctly?<br>- is the ships hospital clean, hygienic and for medical use only?

  In Order

  Obs

  NC

  N/A

  not seen

• Is there a up to date contact list for Medical Radio Advice?

  In Order

  Obs

  NC

  N/A

  not seen

• Is the medical logbook and visit reports up to date?

  In Order

  Obs

  NC

  N/A

  not seen

• Are onboard trading and familiarisation carried out and are records available?

  In Order

  Obs

  NC

  N/A

  not seen

• Do all seafarers have a copy of the complaint procedure and is the complaint log up to date?

  In Order

  Obs

  NC

  N/A

  not seen

• Are complaints handled in a timely, fair and effective manner?

  In Order

  Obs

  NC

  N/A

  not seen

• Auditor Signature

  Sign

• Masters Signature

  Sign

• Yes

  No

  N/A

• Audit Summary

• Non Conformity

NCN

• Details of Non Conformity

• Any picture evidence of finding

  Media

• Suggested Close Out (to be completed by master)

• Number of days to close finding

  30

  60

  90

• Observations

obs

• Details of Observation

• Any picture evidence of finding

  Media

• Suggested Close Out (to be completed by master)

• Number of days to close finding

  30

  60

  90

• All findings Acknowledged and signed by Master

• Masters Name

• Masters Signature

  Sign