Livestock Internal ISM, MLC & ISPS, ISO 9001 Audit (version 30 May 2017)

• Document No.

• Vessel

• Add media

  Media

• Lead Auditor

• Conducted on

  Date

• Second Auditor

• Masters Name

• Location
  Address

ISM Internal Checklist

Bridge

• Is there any evidence of Shipboard Familiarization for newly joined? GMDSS, ECDIS, Bridge Hand over Checklist for Deck Officers?

  In Order

  Obs

  NC

  N/A

  Not Seen

• 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? Is there a designated person for emergency communications?

  In Order

  Obs

  NC

  N/A

  Not Seen

• Are all drills carried out as per schedule? Are drill evaluation recorded?

  In Order

  Obs

  NC

  N/A

  Not Seen

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

  In Order

  Obs

  NC

  N/A

  Not Seen

• Have all permits been completed correctly (hot work, enclosed space, electrical, work aloft, pressurized system, critical equipment maintenance, underwater, etc). Check timings, signed and approved, not computer filled in.

  In Order

  Obs

  NC

  N/A

  Not Seen

• Is there an enclosed space register? Signed by Company Safety Officer?

  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

• Is there sufficient evidence to support compliance with Risk Analysis Procedure?

  In Order

  Obs

  NC

  N/A

  Not Seen

• Is there any evidence of using Heavy weather checklist?

  In Order

  Obs

  NC

  N/A

  Not Seen

• Is there a completed pre arrival and pre departure checklist?

  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

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

  In Order

  Obs

  NC

  N/A

  Not Seen

• 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

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

  In Order

  Obs

  NC

  N/A

  Not Seen

• Are all bridge equipment in working order?

  In Order

  Obs

  NC

  N/A

  Not Seen

• Is the compass error and deviation checked each watch?

  In Order

  Obs

  NC

  N/A

  Not Seen

• Last magnetic compass deviation calibration by shore? Posted?

  In Order

  Obs

  NC

  N/A

  Not Seen

• Manoeuvring data posted on the bridge?

  In Order

  Obs

  NC

  N/A

  Not Seen

• Is the AIS static data correct and current status correct?

  In Order

  Obs

  NC

  N/A

  Not Seen

• When was the Emergency steering last tested? No more than 3 months?

  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

• Is the UKC guidance followed as per SMS?

  In Order

  Obs

  NC

  N/A

  Not Seen

• Is there IAMSAR publication on board?

  In Order

  Obs

  NC

  N/A

  Not Seen

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

  In Order

  Obs

  NC

  N/A

  Not Seen

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

  In Order

  Obs

  NC

  N/A

  Not Seen

Master

• Has the Masters review been carried out by the Master? With office feedback?

  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) and are the certificates identical to the certificates in AMOS?<br>

  In Order

  Obs

  NC

  N/A

  Not Seen

• 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 random D&A test done + evidence? Alcohol meter in good condition and calibration up to date?

  In Order

  Obs

  NC

  N/A

  Not Seen

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

  In Order

  Obs

  NC

  N/A

  Not Seen

• Is the Master aware on what to do in case of conflict between security and safety? SSP CHAPTER 2

  Yes

  No

  N/A

• Are flag state circulars complete and up to date?

  In Order

  Obs

  NC

  N/A

  Not Seen

• A copy of Class Status report is available on board? No later than 3 months

  Yes

  No

  N/A

• NCR records are complete. The Master has tracking of outstanding and closed NCR? Evidence are available for all closed NCR as applicable.

  Yes

  No

  N/A

Chief Officer

• Is the Chief Officer familiar with finding procedures in SMS?

  In Order

  Obs

  NC

  N/A

  Not Seen

• Are toolbox meetings carried out and documented? Are risk and safety precautions discussed and documented? Generic RA referred?

  Yes

  No

  N/A

• Are Permit for the Maintenance of Critical Equipment is use?

  Yes

  No

  N/A

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

  In Order

  Obs

  NC

  N/A

  Not Seen

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

  Yes

  No

  N/A

• Are departure and arrival stability calculations made? Does it pass all required criteria? Signed by Master? Annual test compared to published data?

  In Order

  Obs

  NC

  N/A

  Not Seen

• 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)? Disposal of cooking oil recorded?

  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

• Logbook entry of seaworthiness, securing cargo, closing all valves, watertight doors, lashings etc...?

  Yes

  No

  N/A

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

  In Order

  Obs

  NC

  N/A

  Not Seen

2nd Officer

• Are all bridge checklist in use? Is there evidence on file? In logbook entry?

  In Order

  Obs

  NC

  N/A

  Not Seen

• Is the passage plan berth to berth?

  In Order

  Obs

  NC

  N/A

  Not Seen

• Are all publication updated and with back up? Tide Tables for current year?

  In Order

  Obs

  NC

  N/A

  Not Seen

• Is the AIS changed to current ship status?

  Yes

  No

  N/A

• Is there evidence of manual position fixing in port or while passing near islands?

  Yes

  No

  N/A

• Did the officer use the Passage Planning checklist? Can he provide evidence for each ticked items?

  Yes

  No

  N/A

• Is there a position where to switch on the echo sounder?

  Yes

  No

  N/A

• Is there a log book entry for change of con? Master ~Pilot, Pilot ~OOW?

  Yes

  No

  N/A

• Is a logbook entry for: name of pilot, fire rounds, Master random check of charts & pubs, testing of transmitting magnetic compass, compass error, radar performance monitor, change over to manual steering.

  Yes

  No

  N/A

• Is the medical log book indicates symptoms or complains when dispensing medicine to crew?

  Yes

  No

  N/A

3rd Officer/4th Officer

• Is there evidence of checking & testing of LSA & FFA equipment? Including correct number of spares?

  Yes

  No

  N/A

• Is there a record to monitor expiration of LSA & FFA equipment? Updated?

  Yes

  No

  N/A

• Is there a logbook entry of weekly and monthly inspection of LSA?

  Yes

  No

  N/A

• Is the officer familiar with GMDSS equipment and it's operation?

  Yes

  No

  N/A

• Are the fire plans on deck in good condition and crew list updated?

  Yes

  No

  N/A

Engine Room

• 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 discharge valve and Emergency Bilge suction valve secured?

  In Order

  Obs

  NC

  N/A

  Not Seen

• 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

• 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

• If bunkering is taking place, is it being followed as per SBM? (Bunkering file, MSDS, samples + testing results) Are the crew familiar with maximum manifold pressure?

  In Order

  Obs

  NC

  N/A

  Not Seen

• Has the bunkering checklist been completed correctly? H2S information is defined

  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

• Can the Engineers show the list of critical equipments and critical spare parts in AMOS?

  In Order

  Obs

  NC

  N/A

  Not Seen

Chief Engineer

• 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 made in daily basis?

  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

• 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

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

  In Order

  Obs

  NC

  N/A

  Not Seen

• 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

• Is the bunkering procedures fully implemented? Maximum manifold pressure known by all concerned? Chief & deck rovers are informed?

  Yes

  No

  N/A

Galley/Cook

• Is the cook familiar with ISF program and inventories? Updated?

  In Order

  Obs

  NC

  N/A

  Not Seen

• 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 galley crew familiar with garbage disposal procedures? Cooking Oil?

  Yes

  No

  N/A

• Are the galley crew familiar with the fire fighting procedures and equipment in Galley?

  Yes

  No

  N/A

• Are cold room clean and Organised? No rotten vegetables, no provisions lying directly on deck?

  Yes

  No

  N/A

• Is there an copy of Generic RA in the galley? Crew familiar?

  Yes

  No

  N/A

• Cutting boards are clean and Color coded? Similarly Color coded knives?

  Yes

  No

  N/A

• Cut resistant gloves available in galley?

  Yes

  No

  N/A

Bosun/crew

• Is the crew aware of the Company Policies such as alcohol policy, security, safety and do they abide by them?

  In Order

  Obs

  NC

  N/A

  Not Seen

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

  In Order

  Obs

  NC

  N/A

  Not Seen

• Can the crew contact the DPA and deputies? Do they know the name of DPA?

  In Order

  Obs

  NC

  N/A

  Not Seen

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

  In Order

  Obs

  NC

  N/A

  Not Seen

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

  Yes

  No

  N/A

• Can the crew open the SMS and find basic information such his job descriptions?

  Yes

  No

  N/A

• Are the crew familiar with "Leaders in Safety", interventions, awareness?

  Yes

  No

  N/A

Walk Around

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

  In Order

  Obs

  NC

  N/A

  Not Seen

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

  In Order

  Obs

  NC

  N/A

  Not Seen

• Are all bins accommodation area and in Engine Room made of Non Combustable Material?

  In Order

  Obs

  NC

  N/A

  Not Seen

• Is there a designated holding area for special waste? Such as for batteries, fluorescents.

  In Order

  Obs

  NC

  N/A

  Not Seen

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

  In Order

  Obs

  NC

  N/A

  Not Seen

• Are there MSDS sheets available (Paint store)? Chemical Room? RO room?

  Yes

  No

  N/A

• Is the gangway safe, accessible? SWL clearly marked and easily visible to user?

  In Order

  Obs

  NC

  N/A

  Not Seen

ISPS Internal Audit Checklist (Ship Security Officer)

• Is the record of revision updated to latest changes to SSP and approved by Class?

  Yes

  No

  N/A

• Is the Company name, Contact details and Ship Specific Information correct? SSP chapter 1<br>

  In Order

  Obs

  NC

  N/A

  Not Seen

• Is the SSP kept in a secure location? SSP 16.2

  In Order

  Obs

  NC

  N/A

  Not Seen

• Is the SSO familiar with the confidentiality of SSP? SSP 16.2

  Yes

  No

  N/A

• Is there a record of last internal/ external audit? NC closed? SSP 16.4

  Yes

  No

  N/A

• Is there an actual list of the last 10 ports? SSP app. I form 10

  In Order

  Obs

  NC

  N/A

  Not Seen

• Is the SSO familiar with the access control procedures? SSP 10.3

• Are all visitors to the vessel being asked for proof of Identity? SSP form 10

  In Order

  Obs

  NC

  N/A

  Not Seen

• Is the Visitors Log being maintained? SSP FORM FO7

  In Order

  Obs

  NC

  N/A

  Not Seen

• Are all restricted areas secured and properly marked/identified ? SSP chapter 11

  In Order

  Obs

  NC

  N/A

  Not Seen

• Is there a record of key controls and inventory? SSP chapter 11

  In Order

  Obs

  NC

  N/A

  Not Seen

• Is the SSO aware who set the Security Levels? SSP 5.1

• Is the current Security Level being displayed? SSP Chap 5

  In Order

  Obs

  NC

  N/A

  Not Seen

• Can the SSO identify the difference between the security levels? SSP 5.31

• Is the SSO understand the purpose of DoS? SSP chapter 7

  In Order

  Obs

  NC

  N/A

  Not Seen

• Is the SSAS Test being conducted at quarterly intervals? SSP APPENDIX L

  In Order

  Obs

  NC

  N/A

  Not Seen

• Is the SSO aware of the action to be taken in case security level between ship and Port Facility is not the same? SSP chapter 5.

  In Order

  Obs

  NC

  N/A

  Not Seen

• Is the copy of annual security drill available on board? SSP Chapter 3

  Yes

  No

  N/A

• Does the SSP procedure for receiving stores followed?SSP 13.3

  In Order

  Obs

  NC

  N/A

  Not Seen

• Does the SSO aware of the procedures for unaccompanied baggage? SSP 10.4.2

  In Order

  Obs

  NC

  N/A

  Not Seen

• Are regular security rounds in Port being recorded in log book? SSP chapter 14

  In Order

  Obs

  NC

  N/A

  Not Seen

• Are Security Drills and Exercise being conducted in accordance with the SSP? SSP Forms in use? SSP Appendix J.

  In Order

  Obs

  NC

  N/A

  Not Seen

• Is the SSO aware where to find Port Facility contacts? SSP 6.2

  In Order

  Obs

  NC

  N/A

  Not Seen

• Are there records kept of Security Threats and Incidents? Breaches of Security? Changes in Security Levels?

  In Order

  Obs

  NC

  N/A

  Not Seen

• Is the SSO understand the Ship to Ship interface? SSP 6.5

  In Order

  Obs

  NC

  N/A

  Not Seen

• Are there any records of Security Equipment Maintenance? SSP chapter 9

  In Order

  Obs

  NC

  N/A

  Not Seen

• Has the Security Plan been reviewed in the past 12 months, with an office reply?SSP 16.4.2

  In Order

  Obs

  NC

  N/A

  Not Seen

• Is there a copy of BMP4 available on board?

  In Order

  Obs

  NC

  N/A

  Not Seen

• Are SSP forms in use? SSP appendix I (Familiarisation form short and Long term training?

  In Order

  Obs

  NC

  N/A

  Not Seen

• Is the Circular MSC 1156 available on board? SSP 10.4.6

  In Order

  Obs

  NC

  N/A

  Not Seen

• Is there any evidence of stowaway and contraband search? SSP Form F06

  In Order

  Obs

  NC

  N/A

  Not Seen

• Is the SSO familiar with Specific ship security procedures? Such as Arson, Disappearance of crew? SSP appendix F

  In Order

  Obs

  NC

  N/A

  Not Seen

• CSO and SSO details posted?

  In Order

  Obs

  NC

  N/A

  Not Seen

• Is the SSP have drawings or layout showing restricted areas and potential access?

  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

  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 and safety trainings, etc..?

  In Order

  Obs

  NC

  N/A

  Not Seen

• Have all seafarers a Contract of Employment? All valid? Extensions of contract must be available if applicable.

  In Order

  Obs

  NC

  N/A

  Not Seen

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

  In Order

  Obs

  NC

  N/A

  Not Seen

• Are Work and Rest hours maintained on daily basis? Are the duty officer and ratings on 0000 - 0400 hrs watch recorded the time they joined in morning drill?

  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

• Are records of inspections of seafarer accommodation carried out by Master?

  Yes

  No

  N/A

• Have all seafarers received monthly accounts of their payments due and amount paid?

  In Order

  Obs

  NC

  N/A

  Not Seen

• Are frequent inspections carried out by the Master with respect to provisions, drinking water, food handling equipment and storage, galley and the preparation and service of meals documented?

  Yes

  No

  N/A

• 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

Emergency Drill

• Is the drill conducted satisfactory? Please explain details and evaluation of drills?

  Yes

  No

  N/A

ISO 9001 2015

• In 2017 de annual focus point is: the effectiveness of lessons learned.<br>- what is done with the AIR's received from other vessels?<br>- learnings punished in Bull's Eye?<br>- effectiveness of (preventive) actions taken as result of NC?

  In Order

  Obs

  NC

  N/A

  Not Seen

• What are the stakeholders which are important to the vessel?<br><br>A. Clients<br>B. Crew<br>C. Office<br>D. Suppliers <br>E. Regulatory bodies<br><br>

  In Order

  Obs

  NC

  N/A

  Not Seen

• What are their needs and expectations?<br><br>A. Clients: reliability (as per contract)<br>B. Crew: payment (VFSM), safe environment

  In Order

  Obs

  NC

  N/A

  Not Seen

• How it is ensured that these requirements are met?

  In Order

  Obs

  NC

  N/A

  Not Seen

• What are the LE (quality) objectives?

  In Order

  Obs

  NC

  N/A

  Not Seen

• How do you manage changes?

  In Order

  Obs

  NC

  N/A

  Not Seen

• How do you capture and use knowledge?

  In Order

  Obs

  NC

  N/A

  Not Seen

• How do you show your leadership to the crew regarding regarding ISO?

  In Order

  Obs

  NC

  N/A

  Not Seen

For the whole crew

• Do you know what the relevant policies on board are?

  In Order

  Obs

  NC

  N/A

  Not Seen

• Do you know what the relevant policies on board are?

  In Order

  Obs

  NC

  N/A

  Not Seen

• What are the requirements of our clients?

  In Order

  Obs

  NC

  N/A

  Not Seen

• How does the Captain discuss QHSE with the crew?

  In Order

  Obs

  NC

  N/A

  Not Seen

• Auditor Signature

  Sign

• Masters Signature

  Sign

• Add drawing

  Drawing

• 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