Checklist for Shipboard ISM Internal Audit

Name of Ship / IMO Number

Date of Audit

Place of Audit Name of Auditor(s)

! Shipboard "our
! #rid$e 1.1.1
1.1.2 1.1.3 1.1.% Are there any inoperable nautical instrument or radio equipment? Are updated versions of nautical publications available? Are maritime safety information from NAVTE or E!" chec#ed re$ularly? Are nautical charts and Notice to &ariners controlled properly?
If Yes, go to 10.11 up to 10.15 If Yes, go to 10.11 up to 10.15

ISM Code No.

10 1.2.3.1/11.2.1 1.2.3.1 / 7 1.2.3.1 / 7 5.1.3

1.1.' Are standin$ order or ni$ht order issued re$ularly by the master? !% Accommodation Space 1.2.1 1.2.2 1.2.3 1.2.% 1.2.' 1.2.3 1.2.4 Are there any cre( accommodations left unattended (ith their function unserviceable? Are updated versions of &uster lists available? )*rid$e+ En$ine ,oom+ .s /01A/ trainin$ manual provided? Are ship2s dra(in$s and instruction boo#s controlled properly? .s posted placard for $arba$e disposal (ritten in lan$ua$e understood by cre(? .s (atch schedule for (atch #eepers posted? .s sic# bay ready for emer$ency use? Accommodation+ -

10 1.2.3.1 / 8.1 1.2.3.1 / 8.2 11.2.1 1.2.3.1 / 6.6 1.2.3.1 / 7 1.2.3.1 / 8.1 1.2.3.1 / 8.1

1.2.5 Are medicaments properly controlled? !& On deck 1.3.1 Are closin$ appliances6 1./.A. and 7.7.A maintained properly? 1.3.2 1.3.3 Are there any dama$ed equipment or hull part bein$ left unattended? Are there any part (hich are temporarily repaired?

If Yes, go to 10.11 up to 10.15 If Yes, go to 10.11 up to 10.15 If Yes, go to 10.11 up to 10.15 1.2.3.1 10

!' (n$ine room / Steerin$ room 1.%.1 Are there any machinery left unattended (ith their function inoperable?
1.%.2 .s evacuation route secured? 1.%.3 .s operatin$ instruction of steerin$ chan$eover posted? !) Inter*ie+ +ith ratin$s durin$ tour throu$h 1.'.1 .ntervie( (ith the ratin$ for6 )8ec#+ En$ine+ "aterin$+ 1.'.2 9hen did he :oin? )8ec#+ En$ine+ "aterin$+ 1.'.3 1.'.% 1.'.' 1.'.3 8id he under$o familiari;ation trainin$ :ust after :oinin$?)8ec#+ En$ine+ "aterin$+ 9as essential instruction prior to sailin$ $iven to him?)8ec#+ En$ine+"aterin$+9hen did he last participate in an abandon ship drill?) 8ec#+ En$ine+"aterin$+8oes he #no( his assi$ned duties in an emer$ency) 8ec#+ En$ine+"aterin$+-

10 1.2.3.1/8.1 1.2.3.1/7

Refer 8.7

1.2.3.1 / 6.3 6.3 1.2.3.1

1.'.4

<as he received instructions on ho( to use fireman outfit or breathin$ apparatus? ) 8ec#+ En$ine+"aterin$+

5.1.1 / 8.2 8.1 / 8.2

1.'.5 8oes he understand (hat si$nal is $iven in the event of emer$ency? ) 8ec#+ En$ine+"aterin$+!, Inter*ie+ +ith the Master /tatutory certificates and survey records 1.3.1 Are the effective statutory certificates and survey records available on board the ship? .s validity of statutory certificates informed to the company as per the procedures? "lassification certificates and records 1.3.3 .s "lassification "ertificate properly endorsed?
1.3.2 1.3.% 1.3.'

1.2.3.1 10.1 / 11.1

1.2.3.1

Are classification survey records maintained properly? -

"re( list Number and Nationality of licensed officer? )Number Nationalities1.3.3 Number and Nationality of ratin$s? )Number+ Nationalities+"ertificates for cre( members 1.3.4 .s the ship manned in compliance (ith the safe mannin$ document? 1.3.5 8oes each &aster or 0fficer hold an Appropriate "ertificate or a 8ispensation in accordance (ith /T"9='?
1.3.= 1.3.1 ? 1.3.1 1 1.3.1 2 1.3.1 3

.n case a ship is of a "ountry other than the >arty (ho issued the "ertificate6 does each &aster or 0fficer hold6 in addition to the above )1.3.5-6 an Endorsement attestin$ the ,eco$nition or a 8ispensation issued by fla$ state6 or a 8ocumentary proof that application for an endorsement has been submitted to the Administration? Are ori$inal copies of &aster@s or 0fficer@s "ertificates and Endorsements #ept on board the ship? Are ratin$s formin$ part of navi$ational or en$ineAroom (atch duly certificated?
8o &aster6 0fficers and any person (ith responsibility for loadin$6 dischar$in$ and care in transit or handlin$ car$o servin$ on tan#er )oilB$asBchemical- hold Appropriate "ertificates? Are all ratin$s assi$ned to specific duties and responsibilities related to car$o or car$o equipment on tan#er )oilB$asB chemical- duly certificated?

6.2

1o$ boo# entry

1.3.1 Are necessary items entered as per /01A/ requirements? % 1.3.1 Are necessary items entered as per the /&/? ' 0il ,ecord *oo# C !arba$e ,ecord *oo# 1.3.1 Are necessary entries made to 0il ,ecord *oo#? 3 1.3.1 Are necessary entries made to !arba$e ,ecord *oo#? 4 >rovidin$ information to master 1.3.1 .s an adequate information on safety and pollution prevention $iven to master by the company? 5 7la$ /tate requirements 1.3.1 8oes the ship comply (ith the fla$ state requirements? =
1.2.3.1 / 5.1.4 / 8.2 5.1.4 / 7 / 8.2

1.2.3.1 5.1.4

4 / 6.1.3 / 6.4 1.2.3.1 ISM Code No. 13.1

&! Compan- responsibilities

3.1

.s there any evidence sho(in$ that the ship is mana$ed by the company (hich is indicated on the 80"?

'! Desi$nated Person

%.1 %.2 %.3 '.1 '.2 '.3 '.% '.' '.3 '.4 '.5

.s &aster familiar (ith the requirements of the company2s /&/ relatin$ to /ection % of the ./& "ode6 referrin$ to &anualB>rocedures?

.s 8>A #no(n by master and #ey personnel? .s the role of 8>A #no(n by #ey personnel?
.s &aster familiar (ith the requirements of the company2s /&/ relatin$ to /ection ' of the ./& "ode6 referrin$ to &anualB>rocedures?

6.1.2 4 / 6.1.2 6.5 6.1.2 5.1.2 5.1.3 5.1.4 5.1.5 6.1.2 / 6.4 6.1.3 / 6.4 5.1.1

)! Master.s responsibilities and authorit-

<o( did master motivate the cre( in the observation of the "ompany policy? <o( did master issue appropriate orders and instructions in a clear and simple manner? <o( did master verify that specified requirements have been observed? <as master revie(ed the /&/ and reported its deficiencies to the company? .s master a(are of the overridin$ authority ensured under the ./& "ode? .s master a(are of the authority to request the company2s assistance as may be necessary? <as master eDercised the overridin$ authority?

,! /esources and Personnel

3.1 .s &aster familiar (ith the requirements of the company2s /&/ relatin$ to /ection 3 of the ./& "ode6 referrin$ to &anualB>rocedures? 3.2 <ave all cre( members received preA:oinin$ trainin$ as per the procedures? 3.3 <ave onAboard trainin$s and instructions been conducted as per the procedures? 3.% <ave ne(ly :oined cre( members received the familiari;ation trainin$ required by the /T"9? <ave ne(ly :oined cre( members received the familiari;ation trainin$ required by the /01A/ (ithin 2 (ee#s after :oinin$? 3.' 3.3 <ave onAboard trainin$s and instructions required by the /01A/ conducted re$ularly? 3.4 9hat is the onAboard common lan$ua$e specified by the company? 3.5 Are /&/ related documents $iven in a lan$ua$e understood by ship2s cre(? 3.= Are all cre( able to read and understand the /&/ manual? 3.1? <as the company established any plan to cope (ith the case (here cre( are unable to read and understand the manual? 3.11 Are cre(s able to communicate effectively in the eDecution of their duties? 3.12 .s master2s /&/ a(areness on an acceptable level? )to be :ud$ed at the end of audit-

6.1.2 6.1.2 / 6.5 5.1.1 6.5 1.2.3.1 5.1.1 / 6.3 1.2.3.1 / 5.1.1 () If No, go to 6.10 6.6 6.7 4 / 6.1.2 / 6.5 6.1.2

0! 1e- shipboard operations

4.1 4.2 4.3 4.% E E E E E 4.' 4.3 4.4 4.5

.s &aster familiar (ith the requirements of the company2s /&/ relatin$ to /ection 4 of the ./& "ode6 referrin$ to &anualB>rocedures?

<ave operations durin$ departure been performed as per the procedures? <ave navi$ational operations been performed as per the procedures? <ave arrival operations been performed as per the procedures? 8oes the safety mana$ement system include navi$ation procedure? .s there a documented procedure to ensure fully corrected charts are in place for the forthcomin$ voya$e? 8oes the /&/ provide any provision for the master to conduct navi$ational audits to ensure officers comply (ith procedures? .s chart supply contracted (ith a reco$ni;ed chart a$ent? Are there procedures to ensure effective brid$e team mama$ement? 9hat #ind of car$o does the ship load? <ave car$o handlin$ operations been performed as per the procedures? <ave pollution prevention operations been performed as per the procedures? <ave special operations identified been performed as per the procedures?

4 5.1.1 5.1.4 7 12.1

Refer to Additional Chec Ite!s

2! (mer$enc- preparedness

ISM Code No.

5.1 5.2 5.3 5.% 5.' 5.3 5.4 5.5 5.= 5.1? 5.11 E E E E E E E E E E E =.1 =.2 =.3 =.% =.' =.3 =.4

.s &aster familiar (ith the requirements of the company2s /&/ relatin$ to /ection 5 of the ./& "ode6 referrin$ to &anualB>rocedures?

<as the company provided the ship (ith updated emer$ency contact list? .s master familiar (ith the procedures to respond emer$ency situation identified?
<ave drills and eDercise for the emer$ency situations identified been conducted as per the procedures?

.s radio personnel a(are of ho( to transmit distress alert under !&8//? .s /0>E> available onboard the ship? <ave mandatory drills been conducted re$ularly? )<as the ship encountered a sea casualty andBor serious human in:ury since the last periodical audit?<as the company $iven the master necessary support as per the procedures? <ave the responses and actions been ta#en by ship as per the procedures? <as the /&/ been revie(ed based on a results of investi$ation? /hipAbased and shoreAbased contin$ency plans clearly identify roles6 responsibilities and recordA#eepin$ procedures. Emer$ency procedures include effective callin$ systems and communication lin#s for alertin$ the emer$encyAresponse team. Are there documented procedures describin$ shoreAbased and shipboard contin$ency plans ? The company provides adequate emer$encyAresponse facilities. .ndividuals are trained in their desi$nated emer$encyAresponse roles. 8oes the company have a system to provide a 2%Ahour dama$eAstability and structuralAinte$rity assessment service. 1essons learnt from eDercises and real incidents are ta#en into account (hen updatin$ the emer$encyAresponse plans. Are standAins are included in the planned eDercises and drills? Ares /tandAins identified and trained for #ey positions in the response team?. <as the company made all the necessary arran$ements to use eDternal resources in an emer$ency?. 0utside or additional resources are used to provide more realistic drills and eDercises.
.s &aster familiar (ith the requirements of the company2s /&/ relatin$ to /ection = of the ./& "ode6 referrin$ to &anualB>rocedures?

6.1.2 8.1 / 8.3 6.1.2 / 6.5 / 8.1 / 8.2 1.2.3.1 / 5.1.1 / 5.1.4 / 8.2 8.1 / 8.2 1.2.3.1 1.2.3.1 / 8.1 / 8.2 If Yes, go to 8." up to 8.11 6.1.3 8.1 9.1 12.2

If Yes, go to ".5 up to ".7 6.1.2

3! Deficienc- control

9ere there any reports on N"6 accident and ha;ardous occurrence (hich (ere sent ashore? <ave the ship been controlled )re$ardless of detention or not- by >/" since the last audit? <ave any deficiencies identified at inspections by the third parties6 such as charterers6 > C . club and etc6 since the last audit? <ave all N"s6 accidents and ha;ardous occurrences (hich are to be reported6 been sent ashore? <as the company responded to reported deficiencies? <ave corrective actions to reported deficiencies been ta#en?

12.2

5.1.1 / 5.1.4 / 9.1 4 / 9.1 9.2 6.1.2 5.1.5 / 10.1 10.2.4 10.3 1.2.3.1 10.2.4 9.1 9.2 10.2.2

1?.1 .s &aster familiar (ith the requirements of the company2s /&/ relatin$ to /ection 1? of the ./& "ode6 referrin$ to &anualB>rocedures? 1?.2 <as maintenance for ship and equipment been carried out as per the plan established? 1?.3 <ave maintenance (or#s performed been properly recorded? 1?.% <ave specific measures for critical equipmentBtechnical system identified been ta#en as per the procedures? 1?.' <ave (ee#ly tests and inspections for 1/A been carried out? 1?.3 <ave monthly inspections for 1/A been carried out usin$ the chec#list? 1?.4 <ave inspections been recorded properly? 1?.5 1?.= .s there any technical deficiency report (hich has been sent ashore? <as the company responded to reported deficiency?

4! Maintenance

If Yes, go to 10." up to 10.10

1?.1? 1?.11 1?.12 1?.13 1?.1% 1?.1' 11.1 11.2 11.3 11.% 11.' 11.3 11.4 11.5

<ave corrective actions to reported deficiency been ta#en? <ave deficiencies found durin$ shipboard tour been identified by any of the cre( members already? <ave these deficiencies been reported ashore? <as the company made any response to the reported deficiencies? Are these defective items bein$ involved in the ship2s maintenance plan established? 9hat (as the result of the last ship2s re$ular inspection for these defective items?
.s &aster familiar (ith the requirements of the company@s /&/ relatin$ to /ection 11 of the ./& "ode6 referrin$ to &anualB>rocedures?

10.2.3 If Yes, go to 10.1# up to 10.15 5.1.1/ 5.1.4 / 10.1.2 4 / 10.1.2 5.1.1 / 5.1.4 / 10.1 / 10.2.1 5.1.1 / 5.1.4 / 10.1 ISM Code No. Re$. status% 6.1.2 11.2.1 11.2.2 11.2.3 11.2.1 1.2.3.1

! Document control
Are ship@s /&/ manuals an updated version? <ave revisions of the /&/ manuals been properly recorded? <ave obsolete documents been properly removed? Are the /&/ manuals available at all relevant locations? Are modification to the /&/ manual bein$ made in compliance (ith requirements of the ./& "ode and applicable rules and re$ulations? <ave company@s circular letters or information been filed properly and easily identified? <ave publications to be provided under the /&/B7la$ states been updated?

11.1 1.2.3.1 / 11.2.1 6.1.2 12.1 12.3 12.5 12.6 12.5

%! Internal audit and S-stem re*ie+

12.1 .s &aster familiar (ith the requirements of the company@s /&/ relatin$ to /ection 12 of the ./& "ode6 referrin$ to &anualB>rocedures? 12.2 9hen has the last internal audit been conducted? 12.3 <as internal audit been conducted as per the procedures? 12.% <ave internal audit records been #ept onboard the ship? 12.' <ave ship@s #ey staffs been a(are of the result of the internal audit? 12.3 <ave nonAconformities been raised at the audit? 12.4 <ave corrective actions for the nonAconformities identified durin$ the internal audit been ta#en? 12.5 <as the company notified the ship of the result of mana$ement revie(?

( )

Additional checks for bulk carriers

1 <as the company established procedures for handlin$ car$o (hich may liquefy?
SOLAS VI Reg.7

3 % '

Typical example of cargo, which may liquefy, is nickel concentrate. Hazardous nature of the same is well known. When ship is not provided with loading instructions of this cargo from the Company, C or !"# may $e raised relating to the %#& Code '. SOLAS XII Reg.9 .f the ship is bul# carrier not bein$ capable of complyin$ (ith dama$e stability requirements under the re$ulation ..B%.2 of the /01A/6 have emer$ency response drills been conducted as per specific hold floodin$ scenarios re$ularly? When the ship is ()*m in length or a$ove, has + holds, and ()years of age or older, ask the &aster if this Check is applica$le to the ship. SOLAS VI Reg.7 .s a boo#let (hich enable the master to prevent eDcessive stress in the ship2s structure available onboard? This Check is applica$le for a ship loading cargo other than grain. %f the $ooklet is written in a language other than ,nglish, an ,nglish version is to $e provided. SOLAS XII Reg.11 .s loadin$ computer (or#in$? -.pplica$le for a ship of ()*m in length or a$ove/
SOLAS VI Reg.9 9hen the ship carries $rain6 is a document of authori;ation as required by the .nternational !rain "ode available onboard the ship? 0rain includes wheat, maize1corn, oats, rye, $arley, rice, pulses, seeds and processed forms thereof whose $ehavior is similar to that of grain in its natural state.

.s dama$e control plan available onboard the ship? The damage control plan shall $e permanently exhi$ited or readily availa$le on the navigation $ridge.

SOLAS II-1 Reg.23-1/1 A!!"#e$ %o $&#!$ 'o($%)*'%ed o( o) +,%e) 1 -e.. 1992

SMS Continuous Impro*ement

Has the company esta$lished any o$2ectives and targets covering short and long term issues3 Has the company esta$lished any programs to help them achieve their targets and o$2ectives3 Has the company consolidate information on new legislation that will have an impact on their operation3 #uch as &.45!6 .nnex 7%3 .re resources availa$le to handle the in8coming legislation3 .re there procedures to handle any management of change3 - including training and seminar / Has the Company esta$lished any structured risk assessment methodology to identify hazards3 Has the company consider improvement through other certification process such as %#! (+**( and !H#.# (9**(3