First Impressions

Photos of vessel
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Vessel status

Status and general condition of vessel:

Outline any significant work taking place:

Boarding

Marina/shipyard facility has adequate security in effect.

The gangway and moorings are in good condition and rigged as required.

There is a visitor/contractor security log in use.

Personnel

Company personnel taking part:

Crew department heads on board:

Vessel Certificates & Documentation

All Commercial Vessels (varied minimum GT/LOA requirements)

Certificate of Registry

Certificate of Commercial Compliance (LY Code) or Statement of Compliance

Minimum Safe Manning Document

Certificate of Class

Drydocking Survey (produced by IYC, based on Class drydocking requirement)

International Tonnage Certificate

Ship Radio Station Licence

Commercial Vessels >150GT

International Load Line Certificate

Load Line Conditions of Assignment

Safety Radio Certificate & Form R (>150gt)

Commercial Vessels >300gt

Record of GMDSS Equipment

Declaration of Shore Based Maintenance (GMDSS) (>300gt)

LRIT Conformance Test Report

Ship Sanitation Certificate (if applicable)

Commercial Vessels >400gt

International Sewage Pollution Prevention Certificate (>15 persons)

International Oil Pollution Prevention Certificate

International Air Pollution Prevention Certificate

Engine IAPPC (for each engine >130KW and > 1st Jan 2000).
List applicable engines below.

Diesel Engine

Name of engine:

EIAPPC valid and NOx Technical File present?

International Energy Efficiency Certificate

Antifouling Certificate - Paint Manufacturer

Antifouling Certificate - Class

Commercial Vessels >500GT

THE NAME, COMPANY ID, COMPANY ADDRESS, AND SHIP TYPE MUST BE THE SAME ON DOC, SMC, & ISSC.

Company ISM 3.1 Letter (copy on board)

Company Document of Compliance (copy on board)

Safety Management Certificate

Safety Construction Certificate

Safety Equipment Certificate

Declaration of Company, DPA & CSO posted

Continuous Synopsis Record file complete & up to date

Safety & Environmental Protection Policy posted

Drug & Alcohol Policy Posted

Ballast Water Management Statement of Compliance (if applicable)

Ballast Water Design Appraisal Document (if applicable)

Equipment Certification

Medical Stores Cert of Compliance

OWS Calibration Certificate (>400gt)

Compass Deviation Card (<2 yrs)

BNWAS Cert of Type Approval (>150gt)

ECDIS Type Approval (>400gt if equipped)

Flares & Pyrotechnics - records available (sample inspect actual)

EPIRB registrations for all EPIRBs

EPIRBs Annual Test Certificates

EPIRB HRU - in date / records of inspection available

SARTs inspection records available (1x <500gt / 2x >500gt)

Inflatable Lifejackets - in date / records of inspection available

Liferafts Inspection Certificates (inspect actual)

Liferafts HRUs - in date / records of inspection available

Immersion suits - 3yr inflation test (annual if >10yrs old)

Fire Extinguishers Inspection Certificate

Fixed Fire System (Galley) Inspection Certificate

Fixed Fire System (Engine Room) Inspection Certificate

Fixed Fire System (Accommodation) Inspection Certificate

Fire Retardant Application Certificate for upholstery & soft furnishings (>400gt if applicable)

SCBA sets, cylinders & spare cylinders - records of inspection available

Firefighter radios certified explosion-proof or intrinsically safe

EEBDs - records of inspection available (>500gt)

Overside Sailtrack System Inspection / load test

Lifting Gear (non-LSA) Inspection

Rescue Boat Lifting Gear Inspection (>500gt)

SOLAS Rescue Tender Type Approval (>500gt)

Gas detector calibration certificate (>500gt)

Voyage Data Recorder Test Certificate (>3000gt)

Insurance & Pollution

Insurance - H&M

Insurance - P&I

Insurance - EU endorsements

Insurance - Pollution

USCG COFR (>150gt)

Wreck Removal Convention Certificate (>300gt)

NTVRP approval letter (>300gt)

SOPEP approval letter (>400gt)

Certificate of Insurance for Bunkers Liability (>1000gt)

Bunker CLC Certificate (>1000gt)

Vessel documents, manuals & plans

Fire & Safety Plan (FFE & LSA) is correct & up to date, identical in all locations

Stability Book

Lightweight survey (applicable as part of LY Code every 5 years)

SOPEP with correct vessel particulars & vessel contacts (Ship's Interest Contacts) (>400gt)

SOPEP IMO Contacts up to date (>400gt)

NTVRP with correct vessel particulars & contact information (>400gt)

SEEMP (>400gt)

Ozone depleting substances record book

Sewage discharge rate calculation (if ISPPC held)

Ballast Water Management Plan (if applicable)

GMDSS Log Book correctly used & up to date

Garbage Record Book correctly filled out

Garbage Management Plan

Garbage Notice posted

Official Log Book correctly used & up to date

Emergency Towing Plan

SOLAS Crew Safety Training Manual (vessel specific)

Helicopter Operations Manual (if applicable)

Noise Survey Report (>1600gt)

Flag State Laws & Procedures

Flag State Shipping Notices are documented & retained on board

ISPS documentation (>500gt)

International Ship Security Certificate

Ship Security Plan Approval Letter

SSP in secured place only accessible by SSO

MLC documentation

MLC Certificate (>500gt)

DMLC Part I

DMLC Part 2 (available to crew)

MLC Insurance Certificate (or evidence) for Abandonment/Repatriation Costs

MLC Insurance Certificate (or evidence) for Financial Liability

Endorsed SEA Template

Complaints Procedure & Complaints Form (available to crew)

MLC 2006 (available to crew)

ILO Crew Accommodation Certificate (>2013 build)

ILO Approved GA Plan (>2013 build)

Crew Certificates & Documentation

Minimum Safe Manning

MSMD Compliance Matrix is correct in BLUE software, matches the on-board MSMD.

Confirm original certificates on board as required by MSMD .

List missing documentation and status/reason:

Confirm ECDIS generic AND type-specific certification for all bridge watchkeepers (if ECDIS-only vessel).

Confirm number of crew meets MSMD requirements.

Confirm Flag State Endorsements present for all Officers.

If 10+ crewmembers the chef has appropriate culinary certificate.

Confirm copies of certificates for rotational crew not on board.

Crew Certification

Current Crew List can be provided and confirmed accurate.

Crew Document Matrix in BLUE software is complete with no missing or expired documents.

List missing documentation and status/reason:

Originals of all crew medical certificates available.

Sample crew - originals of basic STCW certificates available.

System Management

The effectiveness of the Safety Management System is to be analyzed and reviewed. Opportunities for improvement of the system are to be identified and implemented.

Reviews & Audits

The Master's SMS Reviews are carried out as required and relevant identified action items are addressed.

Date of last Master's SMS Review:

Observations and comments from previous Master's SMS Reviews have been acted upon and corrected.

Internal Audits are held as required by the Management System, at intervals not exceeding twelve months. Reports are to be made available on board.

Date of last Internal Audit:

Observations and non-conformities from previous Internal Audits have been acted upon and corrected.

External Audits are held as required by the ISM Code. Reports are available on board.

Date of last External Audit:

Observations and non-conformities from previous External Audits have been acted upon and corrected.

Flag Annual Survey Status Reports are available on board.

Date of last Flag Annual Survey:

Observations and non-conformities from Flag Annual Survey have been acted upon and corrected.

Class Annual Survey Status Reports are available on board.

Date of last Class Annual Survey:

Observations and non-conformities from Class Annual Survey have been acted upon and corrected.

Reporting

Master's Monthly Reports are being produced, are relevant, and are vessel-specific.

Chief Engineer's Monthly Reports are being produced, are relevant, and are vessel-specific

Safety Committee Meetings are held and recorded. Corrective action is taken, followed up & effective.

Procedures for reporting accidents & near-misses, including analysis of root cause are in place & implemented.
Required corrective & preventative actions are carried out and verified.

Procedures for reporting non-conformities & defects, including analysis of root cause are in place & implemented.
Required corrective & preventative actions are carried out and verified.

All non-conformities have been completed & closed.

Are the open non-conformities being suitably addressed in a timely fashion?

Outline the situation with this open non-conformity.

Onboard Operations

Procedures, plans and instructions are to be established and implemented for key shipboard operations concerning the safety of the personnel, ship and protection of the
environment.

Safety & Operations

SOLAS Crew Safety Training Manual is vessel-specific.

Forms & Checklists are relevant & vessel-specific.

Forms & checklists are being used properly.

Forms are scheduled properly on the Scheduled Forms Matrix, as required.

Crew Familiarizations are being utilized - check different types of familiarization form.

Departure & arrival checklists are being used.

Passage planning is conducted & recorded using the Passage Plan or Movement Report.

Navigational charts are up to date according to the latest notices to mariners.

Bunkering checklists are being used.

Master, Chief Officer, & Chief Engineer handover checklists are being used.

Permits to work are being used & complied with.

Procedures for Risk Assessments are in place & being followed.

Accidents & Near-Misses are correctly understood and being properly reported.

Defects & Non-Conformities are correctly understood & being properly reported.

Suitable PPE is being available & used.

Responsibilities and duties are clearly assigned to qualified personnel.

All personnel are familiar with their duties and responsibilities.

Means of storing flammable substances (gasoline, solvents) is adequate

Means of storing and controlling hazardous chemicals & substances is adequate

Emergency Preparedness

All seafarers are to be fully familiar with their duties and responsibilities in an emergency situation and all emergency equipment is to be well maintained and ready for use.

Emergency Operating Procedures

Emergency contact details are correct in all locations (on BLUE and printed sheets).

Emergency contact details for Company & Global Response Center are posted & available to crew.

Emergency contact details for H&M insurance, P&I insurance, Pollution Control and medical emergency services are posted & available to crew.

Emergency contact details for the local Port, Port Control, Harbor Master, local agent & local emergency services are posted and available to crew.

Emergency Operating Procedures are available for all potential emergency situations, in hard-copy format in a "red emergency folder" or similar, stored in a suitable location.

All crew are aware of the "red emergency folder" containing the Emergency Operating Procedures.

Emergency Operating Procedures are relevant & vessel-specific.

The Muster List is up to date and meets SOLAS requirements.

Muster List references crew positions not crew names.

The Muster List must include all details required by SOLAS Ch III Reg 37, including clearly identified responsibilities and duties, defined substitutes for key personnel and the identification of the officer(s) responsible for maintenance and inspection of Life Saving Appliances and Fire Fighting Equipment.

Drill Matrix is properly scheduled (including all identified potential emergency situations).

Drills and Exercises are held and documented as required.
Photographic records with dates as evidence of drills being held are encouraged.

Drills and Exercises are relevant, reviewed on completion and learning points are identified.

Crew Emergency Preparedness

All crew are familiar with:
- the alarm signals.
- their muster station.
- their duties in case of an emergency.

Drill conducted on board as part of audit?

Type of drill conducted on board.

Drill scenario.

Result of drill, summary comments or observations.

Vessel Maintenance

Maintenance of the vessel and equipment is the most common ISM deficiency found by Port State Control (PSC). The ship and all equipment are to be inspected regularly, well maintained and ready for operation at all times.

Maintenance & Inventory

Critical Equipment has been mutually agreed upon by both the company and engineering department.

Critical Equipment maintenance is correctly set up and is up to date with nothing overdue.

Sample critical equipment maintenance schedule & records.

Monthly Critical Equipment maintenance reports are provided to the company.

Sufficient spare parts are maintained on board, and levels of minimum critical spare parts are stated.

The Planned Maintenance & Inventory System is suitably backed up.

Fresh Water Maintenance Plan can be identified by the system.

Maintenance and inspection routines are carried out by competent officers/personnel and under supervision of heads of department.

Identified defects and deficiencies are acted upon promptly and their status is controlled, including the appropriate follow up.

Defects and deficiencies have have been reported to the company, class society, flag administration, Recognized Organization and/or port authorities as necessary.

Resources & Personnel

Ensuring that personnel are competent, qualified, medically fit, well rested and fully familiar with their duties and responsibilities is a key aspect of an effective safety management system.

Resources & Personnel

Protocol for hiring crew & ensuring compliance with certification & MSMD requirements is clearly understood.

All crew members have received initial safety familiarizations prior to vessel departure or within 24 hrs.

Crew have received training familiarizations specific to their job description (tender driver, crane operator, bridge watchkeeper).

Company Safety & Environmental Policy is available to crew.

Crew Policy Manual is available to all crew.

Drug & Alcohol Policy is available to crew.

Job descriptions are available to crew.

Master's Standing Orders are posted and available to crew.

Chief Engineer's Standing Orders are posted and available to all crew who may carry out an Engineering Watch.

Pollution placards are posted, including Garbage Management Notice.

Notice boards are kept up to date to highlight safety bulletins, procedural changes, contact details, work/rest hours, security level and other relevant information.

Complaints Procedure is posted or available to crew.

There is a Trusted Person crewmember for MLC & complaint related issues.

Table of Shipboard Working Arrangements is posted

All crew are up to date with entering their Hours Of Rest.

Any issues of excess Hours Of Work are acknowledged by the captain/officer and compensated for.

Crew Interviews

Master

Master displays fluent understanding of the SMS.

Master's Authority understood.

Master's annual review of SMS completed.

Comments on Master's review of SMS.

Communication with Company & DPA is satisfactory.

Captain is familiar with the SMM.

Aware of Master's Overriding Authority section in the SMM.

Captain is familiar with the SOP manual.

Captain is aware of crew recruitment procedure in the SOP manual.

Safety meetings - no outstanding items.

Master's Standing Orders are clear and understood by crew.

Crew morale & motivation is good.

Certificate & document expiry tracking is good.

Drills are conducted well, with a mix of scenarios, and recorded sufficiently.

Official Log Book is correctly filled out.

Passage Planning is conducted.

Weather reporting & forecasting system is adequate & reports are received with no delay.

Bridge checklists are followed.

EOPs & SOPs are vessel-specific.

Risk Assessments & Permits to Work are used.

Has correct understanding of the Near-Miss, Defect & Non-Conformity Report, including the process of using these reports to improve safety.

Medical Stores Log is correctly recorded.

There are adequate resources & budgets available for safe operation & maintenance.

Satisfied that excess hours of work have been compensated for.

Has received their SEA.

Receiving wages on time including payslips.

Confirm no crew have paid out of pocket for their medical costs.

Satisfied with overall safe operation of the vessel.

Any closing comments?

Chief Officer

Chief Officer displays fluent understanding of the SMS.

Crew Safety Familiarizations are used.

Risk Assessments & Permits to Work are used.

Satisfied with drill matrix & method of recording drills.

LSA & FFE inspections are being conducted.

Lifting gear (cranes, tenders, toys) & personnel climbing harnesses are inspected on a regular basis.

NCRs, Accidents, Near Misses are correctly recorded.

Has correct understanding of the Near-Miss, Defect & Non-Conformity Report, including the process of using these reports to improve safety.

Safety Committee Meetings are being held as required.

Quarterly Safety Inspections are conducted.

Storage of hazardous & flammable materials is safe & secure.

There are sufficient financial resources to ensure adequate repairs, maintenance & inventory on board.

Hours of Rest for all crew are correctly followed & documented.

Satisfied that excess hours of work have been compensated for.

Has received their SEA.

Receiving wages on time including payslips.

Confirm no crew have paid out of pocket for their medical costs.

Satisfied with overall safe operation of the vessel.

Any closing comments?

Chief Engineer

Is aware of the identity & contact details of the DPA.

Chief Engineer Standing Orders are posted and understood by all crew who may do an engineering watch.

Chief Engineer's Standing Orders are signed by all engineering crew.

Satisfied with method drills are conducted.

Risk Assessments & Permits to Work are used.

Lifting gear (cranes, tenders, toys) & personnel climbing harnesses are inspected on a regular basis.

NCRs, Accidents, Near Misses are correctly recorded.

Has correct understanding of the Near-Miss, Defect & Non-Conformity Report, including the process of using these reports to improve safety.

Storage of hazardous & flammable materials is safe & secure.

Critical Equipment list is correctly assigned.

Critical Equipment planned maintenance is correctly set up and reported.

Fresh Water system is included in the Critical Equipment.

Inventory system correctly defines minimum spare parts.

There are sufficient financial resources to ensure adequate repairs, maintenance & inventory on board.

Oil Record Book is correctly filled out & up to date.

ORB: all volumes in M3 except bunkering which is in tons.

Method of recording Hours of Rest is understood and up to date.

Satisfied that excess hours of work have been compensated for.

Understand procedure for reporting complaints.

Has received their SEA.

Receiving wages on time including payslips.

Confirm has not paid out of pocket for medical costs.

Understands the Complaints Procedure.

Satisfied with overall safe operation of the vessel.

Any closing comments?

Head Chef

Is aware of the identity & contact details of the DPA.

Understand Muster List & duties in an emergency.

Satisfied with method drills are conducted.

Understand Master's Standing Orders.

Has a system in place to ensure sanitary conditions, hygiene & cleanliness in galley.

Has a system in place to ensure cleanliness of extraction ducting to ensure no buildup of grease (no fire hazard).

Has a system in place to ensure temperature probe calibration.

Familiar with required Hours of Rest.

Method of recording Hours of Rest is understood and up to date.

Satisfied that excess hours of work have been compensated for.

Understand DMLC part 2.

Understand procedure for reporting complaints.

Have received their SEA.

Receiving wages on time including payslips.

Receiving wages on time including payslips.

Confirm has not paid out of pocket for their medical costs.

Understands the Complaints Procedure.

Satisfied with overall safe operation of the vessel.

Any closing comments?

Additional crewmember interviews:

Sample crew through rank & departments

Crewmember

Crewmember name & position

Is aware of the identity & contact details of the DPA.

Understand Muster List & duties in an emergency.

Satisfied with method drills are conducted.

Understand Master's Standing Orders.

Knows who is the Medical Person in Charge.

Knows who is the Trusted Person on board for MLC & complaint related issues.

Familiar with required Hours of Rest.

Method of recording Hours of Rest is understood and up to date.

Satisfied that excess hours of work have been compensated for.

Understand DMLC part 2.

Understand procedure for reporting complaints.

Have received their SEA.

Receiving wages on time including payslips.

Confirm has not paid out of pocket for their medical costs.

Understands the Complaints Procedure.

Satisfied with overall safe operation of the vessel.

Any closing comments?

Vessel Inspection

Critical / Safety / Emergency Equipment & Systems

The following critical & emergency equipment should be SAMPLED & inspected to ensure good working order:

Emergency escapes (free from obstruction)

Emergency generator room

Fire extinguishers

Fire doors

Fire suits & related FFE in the fire locker

Fire pumps, hydrants & hoses

Fixed fire suppression systems

Bilge pumps & valves

Watertight doors

Fire & bilge alarm / monitoring / control system

Lifejackets

EPIRBs & SARTs

Grab / ditch bags

Rescue tender, on board equipment, and crane

Liferafts

Immersion suits

Vessel general inspection

The following areas to be visually inspected to confirm a good level of organization, maintenance, upkeep, cleanliness & safe practice:

Bridge / radio room / office

Foredeck & forepeak (including bilges)

Exterior deck areas in general

Lazarette / garage (including bilges)

Steering compartment (including bilges)

Control room

Engine room (including bilges)

Tanktop / lower deck technical spaces (including bilges)

Crew mess & accommodation (including bilges / storage areas)

Galley & food storage / refrigeration

Food preparation areas if additional to galley

Interior / guest areas & accommodation

ISPS

ISPS Documentation & Crew

The SSO (Ship Security Officer) has a valid SSO certificate.

The SSO is familiar with his or her duties.

Vessel has a Security Logbook.

Security Logbook is being used to record the information as outlined in the SSP.

There is documented evidence that the SSO is undertaking regular security inspections of the ship.

There is a DOS (Declaration of Security) template form available.

The last 10 DOS's are available on board.

Security drills are carried out regularly as per ISPS Code and SSP.

Security meetings are held at appropriate intervals.

Key & passcode log is being used.

SSP is up to date and correctly references vessel & company contact details.

SSP is stamped & approved by Flag State.

ISPS Controls

The Security Level is set correctly as required by the Flag State and Port Authorities and all personnel are aware of the current level.

The ship is able to move from security level 1 to level 2 by itself without outside assistance.

The Ship Security Plan (SSP) and related records are protected from unauthorized access or disclosure.

There are procedures described for how to respond to contacting governments on security level 3.

The relevant officers are aware to which parts of the SSP limited access may be allowed.

All security equipment is maintained, calibrated and tested as required by their manuals and the SSP.

Restricted Areas are clearly identified and marked as required by the SSP. Access to and activity within Restricted a Areas is controlled as required by the SSP.

Ship's stores are checked on receipt and stowed promptly, in accordance with levels set by the SSP.

Searches of personnel & bags as they board the vessel are carried out in accordance with the level set by the SSP.

Security "under duress" passphrase is established and understood by Master and CSO.

Ship Security Alert System (SSAS) is operational and records for tests and maintenance are available.

It must be possible to open doors along escape routes from both sides. This includes emergency escapes and doors to the accommodation and wheelhouse.

ISM Determinations

ISM Code Reference:

Deficiency:

Objective Evidence:

Select dates for Non-Conformities and Observations. Comments do not need target dates.

Root Cause and Corrective Action Identified By:
Corrective Action To Be Implemented By:

ISPS Determinations

ISPS or SOLAS reference:

Deficiency:

Objective Evidence:

Root Cause and Corrective Action Identified By:
Corrective Action To Be Implemented By:

Signatures

Ship's Personnel
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Auditors
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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.