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Y.CO ISM Yacht Audit
Y.CO ISM Yacht Audit
Jonathan Porritt

Y.CO ISM Yacht Audit

ISM audit checklist

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Free Y.CO ISM Yacht Audit Checklist

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Title Page

  • Site conducted

  • Vessel Name

  • Conducted on

  • Location

  • Audit Template Version 21.07

DETAILS

DETAILS

  • Master

  • Chief Engineer

  • Safety Officer

  • Previous audit date

  • Audit Team

OPENING MEETING

  • ISM 1.4 FUNCTIONAL REQUIREMENTS FOR A SAFETY MANAGEMENT SYSTEM (SMS)
    Every company should develop, implement and maintain a Safety Management System (SMS) which includes the following functional requirements:
    1. a safety and environmental protection policy
    2. instructions and procedures to ensure safe operation of ships and protection of the environment in compliance with relevant international and flag State legislation;
    3. defined levels of authority and lines of communication between, and amongst, shore and shipboard personnel;
    4. procedures for reporting accidents and non-conformities with the provisions of this Code;
    5. procedures to prepare for and respond to emergency situations; and
    6. procedures for internal audits and management reviews.

OPENING MEETING

  • Introduction of the auditor / auditee

  • Audit purpose/scope

  • Audit plan

  • Audit arrangements around ship schedule

  • Safety precautions

  • Confidentiality

  • Disclaimers / sampling technique

  • Questions and clarifications

VESSEL CERTIFICATION

  • ISM 1.2 OBJECTIVES
    1.2.1. The objectives of the Code are to ensure safety at sea, prevention of human injury or loss of life, and avoidance of damage to the environment, in particular, to the marine environment, and to property.
    1.2.2. Safety management objectives of the Company should, inter alia:
    .1. provide for safe practices in ship operation and a safe working environment;
    .2. assess all identified risks to its ships, personnel and the environment and establish appropriate safeguards; and
    .3. continuously improve safety management skills of personnel ashore and aboard ships, including preparing for emergencies related both to safety and environmental protection.
    1.2.3. The safety and management system should ensure:
    .1. compliance with mandatory rules and regulations; and
    .2. that applicable codes, guidelines and standards recommended by the Organization, Administrations, classification societies and maritime industry organizations are taken into account.

VESSEL CERTIFICATION

  • Original certification verified

  • Certificates correct as per ship size and type

  • Vessel name and particulars correct on certificate

  • Certificates endorsed as required

  • Statements in place where Flag State is not a signatory to the relevant convention

  • Supplements show correct information in relation to:

  • Safety equipment actually onboard

  • Tank capacities

  • Discharge rates

  • Application of relevant IMO MEPC or MSC resolutions

  • LSA / FFE servicing certification in place as per Flag State servicing requirements (verify that latest notice is available and requirements are understood and followed)

  • Copy of Flag/Class approval documentation provided by the LSA/FFE service center and maintained with the current LSA/FFE service certificates (ref IMO RESOLUTION MSC.402 (96) or IACS UR Z17 rev.14)

CREW CERTIFICATION

  • ISM 6 RESOURCES AND PERSONNEL
    6.1. The Company should ensure that the master is:
    .1. properly qualified for command;
    .2. fully conversant with the Company’s SMS; and
    .3. given the necessary support so that the Master’s duties can be safely performed.
    6.2. The Company should ensure that each ship is manned with qualified, certificated and medically fit seafarers in accordance with national and international requirements.
    6.3. The Company should establish procedures to ensure that new personnel and personnel transferred to new assignments related to safety and protection of the environment are given proper familiarization with their duties. Instructions which are essential to be provided prior to sailing should be identified, documented and given.
    6.4. The Company should ensure that all personnel involved in the Company’s SMS have an adequate understanding of relevant rules, regulations, codes and guidelines.
    6.5. The Company should establish and maintain procedures for identifying any training which may be required in support of the SMS and ensure that such training is provided for all personnel concerned.
    6.6. The Company should establish procedures by which the ship’s personnel receive relevant information on the SMS in a working language or languages understood by them.
    6.7. The Company should ensure that the ship’s personnel are able to communicate effectively in the execution of their duties related to the SMS

  • ORIGINAL certification verified as per safe manning document:

  • COC

  • Flag State Endorsement (CEC)

  • Seafarers medical certificate (ENG 1)

  • ETO (as applicable)

  • Vessel manned as per MSMD

  • ORIGINAL certification verified as per duties on the muster list:

  • STCW VI/1-4 (basic training, as per Manila Amendments)

  • STCW VI/6 (basic security training)

  • STCW V/2 (crisis management and human behaviour) – passenger ships

  • DP: Verify Officer certification

  • Are Ships Cook & Food Handling requirements and certification in place as per Flag State requirements and MLC (FC117/15)

  • Verify DMLC II and confirm requirements are met

  • Verify crew contract (SEA) is approved as required

  • Verify crew appraisals as required

DOCUMENT REVIEW

  • ISM 11 DOCUMENTATION
    11.1. The Company should establish and maintain procedures to control all documents and data which are relevant to the SMS.
    11.2. The Company should ensure that;
    .1. valid documents are available at all relevant locations;
    .2. changes to documents are reviewed and approved by authorized personnel; and
    .3. obsolete documents are promptly removed.
    11.3. The documents used to describe and implement the SMS may be referred to as the “Safety Management Manual”. Documentation should be kept in a form that the Company considers most effective. Each ship should carry on board all documentation relevant to that ship

DOCUMENT REVIEW

  • Verify that logbooks have the correct entries:

  • Official logbook

  • Deck Logbook

  • Garbage Managment Plan & Garbage record book (version #) Check format change as per MEPC 70, FC 186/18

  • GMDSS logbook

  • Compass log and deviation card and verify the difference between gyro and magnetic

  • Night orders book

  • SOPEP (equipment and contacts)

  • NTVRP, VGP and other US requirements (as relevant)

  • Damage stability booklet

  • Intact stability booklet

  • Stability instructions to the Master understood

  • Damage Control Plan >85m LOA

  • Light ship survey (5 yearly) discussed with the Master

  • SEEMP & SEEMP II >5000GRT

  • SMS (digital and paper)

  • Verify Hospital Facilities

  • Fire Control Plan Approval

  • Masters standing orders (up to date and signed)

  • Are logs and records signed as appropriate

  • Upcoming requirements to discuss - ensure awareness and relevant action plan:

  • Inventory of Hazardous Materials (IHM) – Hong Kong Convention & EU Regulation.

  • IMO resolution MSC.428(98) on Maritime Cyber Risk Management in Safety Management System (SMS). Does the SMS take into account cyber risk management in accordance with the objectives and functional requirements of the ISM Code ?

SAFETY MANAGEMENT

  • ISM 5 MASTER'S RESPONSIBILITY AND AUTHORITY 5.2 The Company should ensure that the safety management system operating on board the ship
    contains a clear statement emphasizing the Master's authority. The Company should establish in the
    safety management system that the master has the overriding authority and the responsibility to make
    decisions with respect to safety and pollution prevention and to request the Company's assistance as
    may be necessary.

  • ISM 7 SHIPBOARD OPERATIONS
    The Company should establish policies, procedures, plans and instructions, including checklists as appropriate, for key shipboard operations concerning the safety of the personnel, ship and protection of the environment. The various tasks should be defined and assigned to qualified personnel

  • ISM 8 EMERGENCY PREPAREDNESS
    8.1. The Company should identify potential emergency shipboard situations, and establish procedures to respond to them.
    8.2. The Company should establish programmes for drills and exercises to prepare for emergency actions.
    8.3. The SMS should provide for measures ensuring that the Company’s organization can respond at any time to hazards, accidents and emergency situations involving its ships.

  • ISM 9 REPORTS AND ANALYSIS OF NON-CONFORMITIES, ACCIDENTS AND HAZARDOUS OCCURRENCES
    9.1. The SMS should include procedures ensuring that non-conformities, accidents and hazardous situations are reported to the Company, investigated and analysed with the object of improving safety and pollution prevention.
    9.2. The Company should establish procedures for the implementation of corrective action, including measures intended to prevent recurrence

SAFETY MANAGEMENT

  • Review of Company policies and procedures : Latest version acknowledge on Y.CO LIVE, posted and understood

  • Health & Safety Protection/Accident Prevention Policy

  • Disciplinary and Complaints Procedure

  • Drug and Alcohol Policy

  • Safety and Environmental Protection Policy

  • Bullying and Harassment Policy

  • Masters' Authority understood

  • Company reporting and feedback

  • Review of last external audit and confirm findings addressed

  • Review of last internal audit and confirm findings addressed (NCN’s, OBS and remarks)

  • Review LSA/FFE planned maintenance records

  • Review defects and incidents along with corrective actions and Company feedback

  • Review last; Masters Handover, Health and Safety Inspection, Safety Meeting minutes and drills and reporting schedule

  • Review contingency plans and standard operating procedures:

  • Do SOP’s have risk assessments

  • Lithium Ion batteries used in water toys

  • Lithium Ion Risk Assessment in place

  • SOP in place for handling and Charging of Lithium Ion batteries

  • Lithium Ion Contingency Plan developed incase of fire

  • Do contingency plans correspond to actual onboard reactions and are they reviewed

  • Verify permits to work in use

  • Masters annual review of SMS (date, content and company feedback)

  • Risk assessment records, relevance and Company feedback/approvals

  • Hours of rest records, any fatigue issues and Company feedback

  • Crew duties and responsibilities – verify relevance

  • Crew Induction and Familiarisation – review documentation

  • Emergency response procedures (ship/shore) understood

  • Tour of yacht – verify signage, LSA/FFE, Em. Escape access, Em. Lighting, PPE, condition of lifting equipment, general work practices, etc.

BRIDGE PROCEDURES

BRIDGE PROCEDURES

  • Chart corrections – verify as per latest ANM online and past passage

  • Publications – verify how these are corrected and latest corrections

  • Digital navigation corrections – applied correctly and up to date

  • ECDIS Primary use of navigation

  • ECDIS Cetification<br>Flag approval documentation<br>Verify no changes made to equipment<br>Verify type approval

  • Master & OOW certification.<br>Generic (IMO 1.27) ECDIS certificate<br>Ship Specific (Make and model)<br>

  • ECDIS familiarisation completed

  • Presentation Library 4.0 installed

  • ENC s updated

  • Guard zone / Look ahead / Safety frame function<br>Set to appropriate distance or time <br>Settings posted at ECDIS or otherwise readily available <br>Verify XT error settings for PP<br>

  • Safety depth known, used and understood

  • Navarea Warnings displayed

  • Official ENC's authorised by a National Hydrographic Office are installed

  • ECDIS failure procedure

  • GNSS failure procedure

  • Passage planning – verify as per SMS and onboard procedure

  • DP notation (as applicable)<br>Verify annual survey report

  • VDR (as applicable) – verify certification

  • Helicopter Operations

  • Verify heli-ops manual and service provider

  • Refueling procedure in SMS

  • HLO and HLA crew certification

  • Submarine operations (as applicable)<br>Verify sub certificate of class<br>Verify sub registration<br>Verify crew training (200hrs min) and certification<br>Verify maintenance records<br>

  • Verify LSA equipment in bridge (Flares, SARTS, etc.)

ENGINEERING PROCEDURES

  • ISM 10 MAINTENANCE OF THE SHIP AND EQUIPMENT
    10.1. The Company should establish procedures to ensure that the ship is maintained in conformity with the provisions of the relevant rules and regulations and with any additional requirements which may be established by the Company.
    10.2. In meeting these requirements the Company should ensure that:
    .1. inspections are held at appropriate intervals;
    .2. any non-conformity is reported with its possible cause, if known;
    .3. appropriate correction action is taken; and
    .4. records of these activities are maintained.
    10.3. The Company should identify equipment and technical systems the sudden operational failure of which may result in hazardous situations. The SMS should provide for specific measures aimed at promoting the reliability of such equipment or systems. These measures should include the regular testing of stand-by arrangements and equipment or technical systems that are not in continuous use.
    10.4. The inspections mentioned in

ENGINEERING PROCEDURES

  • Verify maintenance of LSA/FFA - Planned Maintenance System

  • Chief Engineers standing orders in place, current and signed as required

  • Verify that logbooks have the correct entries:

  • Engine room logbook

  • Oil record book (version #), BDN’s and bunker checklists

  • Gas logbook – required if ozone depleting substances are listed on IAPPC supplement.

  • Verify that copies of documentation held by engineers are up to date:

  • SMS

  • SOPEP

  • EIAPPC & Technical files (check changes to engine components are properly documented)

  • Type approvals (OWS and sewage)

  • Ballast Water Management Plan and requirements met as per BW Convention (approval and ballast treatment plant)

  • Verify critical equipment checklist and general maintenance records as per PMS

  • Verify that defect reporting methods are in place and understood

  • Verify last Technical Inspection and any findings. Correct follow up documented ?

  • Handover procedures and notes verified

CREW FAMILIARISATION

CREW FAMILIARISATION

  • Drill held

  • Communication

  • Familiarisation with muster duties and responsibilities

  • Familiarisation with equipment in use

  • Drill debrief

  • Overall impression of the drill

  • Crew Interview

  • Crew member name

  • Position

  • Date joined vessel

  • Familiarisation process on joining

  • Previous experience (Years)

  • Identify location of relevant manuals (crew training manual, SMS, standing orders, etc.)

  • Identify muster duties

  • Discuss duties relevant to position (Deck – rescue boat launching, Interior – guest muster and safety, Engineer – location of fire main isolation valve(s))

  • When was the last drill?

  • What does the General Alarm sound like

  • What does fire alarm sound like?

  • Identify crew duties and responsibilities

  • Understand HOR and fatigue issues

  • Understand risk assessment methodology and access to assessment records

  • Contents of last safety meeting minutes and where these are posted

  • Who is the crew safety representative and what is their role?

  • Garbage management onboard?

  • Who is the DPA and what is their role?

  • Has the crew member witnessed any incidents onboard or on another vessel?

  • What is the general impression of safety culture onboard

  • Crew familiarization

    • Crew Interview

  • Crew member name

  • Position

  • Date joined vessel

  • Familiarisation process on joining

  • Previous experience (Years)

  • Identify location of relevant manuals (crew training manual, SMS, standing orders, etc.)

  • Identify muster duties

  • Discuss duties relevant to position (Deck – rescue boat launching, Interior – guest muster and safety, Engineer – location of fire main isolation valve(s))

  • When was the last drill?

  • What does the General Alarm sound like

  • MARSEC Levels

  • Identify crew duties and responsibilities

  • Understand HOR and fatigue issues

  • Understand risk assessment methodology and access to assessment records

  • Contents of last safety meeting minutes and where these are posted

  • Who is the crew safety representative and what is their role?

  • Garbage management onboard?

  • Has the crew member witnessed any incidents onboard or on another vessel?

  • What is the general impression of safety culture onboard

CLOSING MEETING

  • ISM 12 COMPANY VERIFICATION, REVIEW AND EVALUATION
    12.1. The Company should carry out internal safety audits on board and ashore at intervals not exceeding twelve months to verify whether safety and pollution-prevention activities comply with the safety management system. In exceptional circumstances, this interval may be exceeded by not more than three months.
    12.2. The Company should periodically evaluate the effectiveness of the SMS in accordance with procedures established by the Company.
    12.3. The audits and possible corrective actions should be carried out in accordance with documented procedures.
    12.4. Personnel carrying out audits should be independent of the areas being audited unless this is impracticable due to the size and the nature of the Company.
    12.5. The results of the audits and reviews should be brought to the attention of all personnel having responsibility in the area involved.
    12.6. The management personnel responsible for the area involved should take timely corrective action on deficiencies found.

CLOSING MEETING

  • Presentation of findings

  • Discussion of NCN’s and Observations and agreement on corrective actions

  • Questions and clarifications

  • Thanks to Master and Crew

  • Notes:

  • AUDITORS NOTES ON NON CONFORMITIES AND OBSERVATIONS
    A Non Conformity is defined as a deviation from the requirements of the Safety Management System or an error which has endangered or has compromised the safety of people, the environment or the yacht.
    An Observation is defined as a statement of fact made during a safety management audit and substantiated by objective evidence which may result in a recommendation to be followed.
    Non-Conformity Notes are tracked on Y.CO LIVE - CAT form
    Observations are tracked on Y.CO LIVE - CAT form
    A summary of Non Conformities and Observations raised during this audit may be found under failed responses at the beginning of this document.

  • Add signature

  • This audit, like all such audits is based on a sampling process, and the identification of a non-conformance, or absence of such, is no guarantee of compliance at any other time.
    This report held on Y.CO LIVE

Y.CO ISM Yacht Audit
Jonathan Porritt

Y.CO ISM Yacht Audit

ISM audit checklist

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