Académique Documents
Professionnel Documents
Culture Documents
Record No.
Name of Ship
Name of Company
Name of Auditor(s)
Type of Ship
DOC Number
DOC issued by
During the audit, the auditors are requested to verify following items.
Is the copy of valid DOC (Interim DOC can not be accepted) placed onboard the ship?
Are there any objective evidences showing effective functioning of SMS onboard the ship for a period of at
least 3 months? (for Initial Audit only)
NOTE: ISClass assumes no responsibility and shall not be liable for any loss, damage directly or indirectly caused by the report in this document.
No
Level 1
items to be checked
Result
Level 2
Remark
Level 3
1. Shipboard Tour
1.1 Bridge
1.1.1
If Yes, go to 10.11
10
up to 10.15
1.2.3.1/11.2.1
1.2.3.1 / 7
1.2.3.1 / 7
5.1.3
1.1.2
Are updated versions of nautical publications available?
1.1.3
Are maritime safety information from NAVTEX or EGC checked regularly?
1.1.4
Are nautical charts and Notice to Mariners controlled properly?
1.1.5
Are standing order or night order issued regularly by the master?
1.2 Accommodation Space
1.2.1
Are there any crew accommodations left unattended with their function unserviceable?
1.2.2
1.2.3
1.2.4
1.2.5
1.2.6
1.2.7
1.2.8
1.3 On deck
1.3.1
1.3.2
Are there any damaged equipment or hull part being left unattended?
1.3.3
If Yes, go to 10.11
up to 10.15
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
If Yes, go to 10.11
up to 10.15
If Yes, go to 10.11
up to 10.15
CHK-SHIP
If Yes, go to 10.11
up to 10.15
1.2.3.1
10
10
1.2.3.1/8.1
1.2.3.1/7
1.2.3.1 / 6.3
6.3
- Refer 8.7
1.2.3.1
5.1.1 / 8.2
Page 2
No
Level 1
items to be checked
Level 2
Result
Remark
Level 3
1.5.8
Does he understand what signal is given in the event of emergency? ( Deck: Engine:Catering:)
1.6 Interview with the Master
Statutory certificates and survey records
Are the effective statutory certificates and survey records available on board the ship?
1.6.1
1.6.2
Is validity of statutory certificates informed to the company as per the procedures?
Classification certificates and records
1.6.3
Is Classification Certificate properly endorsed?
1.6.4
Are classification survey records maintained properly?
Crew list
1.6.5
Number and Nationality of licensed officer? (Number Nationalities)
1.6.6
Number and Nationality of ratings? (Number: Nationalities:)
Certificates for crew members
1.6.7
Is the ship manned in compliance with the safe manning document?
1.6.8
Does each Master or Officer hold an Appropriate Certificate or a Dispensation in accordance with STCW95?
In case a ship is of a Country other than the Party who issued the Certificate, does each Master or Officer hold, in
1.6.9
addition to the above (1.6.8), an Endorsement attesting the Recognition or a Dispensation issued by flag state, or a
Documentary proof that application for an endorsement has been submitted to the Administration?
1.6.1
Are original copies of Masters or Officers Certificates and Endorsements kept on board the ship?
0
1.6.1
Are ratings forming part of navigational or engine-room watch duly certificated?
1
1.6.1
Do Master, Officers and any person with responsibility for loading, discharging and care in transit or handling cargo
serving on tanker (oil/gas/chemical) hold Appropriate Certificates?
2
1.6.1
Are all ratings assigned to specific duties and responsibilities related to cargo or cargo equipment on tanker (oil/gas/
chemical) duly certificated?
3
Log book entry
1.6.1
Are necessary items entered as per SOLAS requirements?
4
1.6.1
Are necessary items entered as per the SMS?
5
Oil Record Book & Garbage Record Book
1.6.1
Are necessary entries made to Oil Record Book?
61.6.1
Are necessary entries made to Garbage Record Book?
7
Providing information to master
1.6.1
Is an adequate information on safety and pollution prevention given to master by the company?
8
Flag State requirements
1.6.1
Does the ship comply with the flag state requirements?
9
3. Company responsibilities
3.1
8.1 / 8.2
1.2.3.1
10.1 / 11.1
1.2.3.1
-
6.2
1.2.3.1
5.1.4
4 / 6.1.3 / 6.4
1.2.3.1
ISM Code No.
Is there any evidence showing that the ship is managed by the company which is indicated on the DOC?
CHK-SHIP
13.1
Page 3
No
Level 1
items to be checked
Level 2
Result
Remark
Level 3
4. Designated Person
4.1
4.2
4.3
Is Master familiar with the requirements of the company's SMS relating to Section 4 of the ISM Code, referring to Manual/Procedures?
Is Master familiar with the requirements of the company's SMS relating to Section 5 of the ISM Code, referring to Manual/Procedures?
How did master motivate the crew in the observation of the Company policy?
How did master issue appropriate orders and instructions in a clear and simple manner?
How did master verify that specified requirements have been observed?
Has master reviewed the SMS and reported its deficiencies to the company?
Is master aware of the overriding authority ensured under the ISM Code?
Is master aware of the authority to request the company's assistance as may be necessary?
Has master exercised the overriding authority?
6.1 Is Master familiar with the requirements of the company's SMS relating to Section 6 of the ISM Code, referring to Manual/Procedures?
6.2
Have all crew members received pre-joining training as per the procedures?
6.3
Have on-board trainings and instructions been conducted as per the procedures?
6.4
Have newly joined crew members received the familiarization training required by the STCW?
Have newly joined crew members received the familiarization training required by the SOLAS within 2 weeks after joining?
6.5
6.6
Have on-board trainings and instructions required by the SOLAS conducted regularly?
6.7
What is the on-board common language specified by the company?
6.8
Are SMS related documents given in a language understood by ship's crew?
6.9
Are all crew able to read and understand the SMS manual?
6.10
Has the company established any plan to cope with the case where crew are unable to read and understand the
manual?
6.11
Are crews able to communicate effectively in the execution of their duties?
6.12
Is master's SMS awareness on an acceptable level? (to be judged at the end of audit)
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
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
()
6.6
If No, go to 6.10
6.7
4 / 6.1.2 / 6.5
Is Master familiar with the requirements of the company's SMS relating to Section 7 of the ISM Code, referring to Manual/Procedures?
CHK-SHIP
6.1.2
4
5.1.1
5.1.4
7
12.1
Page 4
No
Level 1
items to be checked
Level 2
Level 3
Refer to Additional
Check Items
7.7
7.8
8. Emergency preparedness
Is Master familiar with the requirements of the company's SMS relating to Section 8 of the ISM Code, referring to Manual/Procedures?
Has the company provided the ship with updated emergency contact list?
Is master familiar with the procedures to respond emergency situation identified?
Have drills and exercise for the emergency situations identified been conducted as per the procedures?
*
*
*
*
*
*
*
*
*
Are there documented procedures describing shore-based and shipboard contingency plans ?
The company provides adequate emergency-response facilities.
Individuals are trained in their designated emergency-response roles.
Does the company have a system to provide a 24-hour damage-stability and structural-integrity assessment service.
Lessons learnt from exercises and real incidents are taken into account when updating the emergency-response plans.
Are stand-ins are included in the planned exercises and drills?
Ares Stand-ins identified and trained for key positions in the response team?.
Has the company made all the necessary arrangements to use external resources in an emergency?.
Outside or additional resources are used to provide more realistic drills and exercises.
9. Deficiency control
9.5
9.6
9.7
7
ISM Code No.
8.9
8.10
8.11
*
*
9.1
9.2
9.3
9.4
Remark
specified in the Remark
7.6
8.1
8.2
8.3
8.4
8.5
8.6
8.7
8.8
Result
Is Master familiar with the requirements of the company's SMS relating to Section 9 of the ISM Code, referring to Manual/Procedures?
Were there any reports on NC, accident and hazardous occurrence which were sent ashore?
Have the ship been controlled (regardless of detention or not) by PSC since the last audit?
Have any deficiencies identified at inspections by the third parties, such as charterers, P & I club and etc, since the
last audit?
Have all NCs, accidents and hazardous occurrences which are to be reported, been sent ashore?
Has the company responded to reported deficiencies?
Have corrective actions to reported deficiencies been taken?
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 8.9 up
6.1.3
to 8.11
8.1
9.1
12.2
6.1.2
If Yes, go to 9.5 up
to 9.7
12.2
9.2
10. Maintenance
CHK-SHIP
Page 5
No
Level 1
items to be checked
Level 2
Result
Remark
Level 3
6.1.2
5.1.5 / 10.1
10.2.4
10.3
1.2.3.1
10.2.4
If Yes, go to 10.9
9.1
up to 10.10
9.2
10.2.2
10.2.3
If Yes, go to 10.12
up to 10.15
10.1 Is Master familiar with the requirements of the company's SMS relating to Section 10 of the ISM Code, referring to Manual/Procedures?
10.2
Has maintenance for ship and equipment been carried out as per the plan established?
10.3
Have maintenance works performed been properly recorded?
10.4
Have specific measures for critical equipment/technical system identified been taken as per the procedures?
10.5
Have weekly tests and inspections for LSA been carried out?
10.6
Have monthly inspections for LSA been carried out using the checklist?
10.7
Have inspections been recorded properly?
10.8
Is there any technical deficiency report which has been sent ashore?
10.9
10.10
10.11
Have deficiencies found during shipboard tour been identified by any of the crew members already?
10.12
10.13
10.14
10.15
4 / 10.1.2
5.1.1 / 5.1.4 / 10.1 /
5.1.1 / 5.1.4 / 10.1
ISM Code No.
Is Master familiar with the requirements of the companys SMS relating to Section 11 of the ISM Code, referring to Manual/Procedures?
Rev. status:
6.1.2
11.2.1
11.2.2
11.2.3
11.2.1
1.2.3.1
11.1
1.2.3.1 / 11.2.1
( ^ )
6.1.2
12.1
12.3
12.5
12.6
12.5
CHK-SHIP
Page 6
No
Level 1
items to be checked
Level 2
Result
Remark
Level 3
No
Level 1
items to be checked
Level 2
Result
Remark
Level 3
D-1
Has the company established procedures for handling cargo which may liquefy?
SOLAS VI Reg.7
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, NC or OBS may be raised relating to the ISM Code 7.
D-2
If the ship is bulk carrier not being capable of complying with damage stability requirements under the regulation
SOLAS XII Reg.9
XII/4.2 of the SOLAS, have emergency response drills been conducted as per specific hold flooding scenarios regularly?
When the ship is 150m in length or above, has 4 holds, and 15years of age or older, ask the Master if this Check is applicable to the
ship. NK notifies this requirement to the Company 3 years in advance of applicable date to each ship.
D-3
Is a booklet which enable the master to prevent excessive stress in the ship's structure available onboard?
SOLAS VI Reg.7
This Check is applicable for a ship loading cargo other than grain. If the booklet is written in a language other than English, an English version is to be provided.
D-4
Is loading computer working? (Applicable for a ship of 150m in length or above)
SOLAS XII Reg.11
D-5
When the ship carries grain, is a document of authorization as required by the International Grain Code available
SOLAS VI Reg.9
onboard the ship?
Grain includes wheat, maize/corn, oats, rye, barley, rice, pulses, seeds and processed forms thereof whose behavior is similar to that of grain in its natural state.
D-6
Is damage control plan available onboard the ship?
SOLAS II-1, Reg.23-1/1
Applies to ships constructed on or after 1 Feb. 1992
The damage control plan shall be permanently exhibited or readily available on the navigation bridge.
E. Other Cargo Ship
E-1
Has the company provided master with sufficient information on the cargo?
SOLAS VI, Reg.2
Check if cargo information is given to the master, especially when the ship is to carry different type of cargo other than familiar
with the master. When appropriate information is not given NC or OBS may be raised related to the ISM Code 4 and 6.1.3.
E-2
Is approved cargo securing manual available onboard the ship?
SOLAS VI, Reg.5
(Manual approved by NK or an IACS Society? Be advised that there are ships for which cargo securing manuals are
not required, depending on the nature of cargo and so on.)
E-3
When the ship carry dangerous goods, is a special list or manifest setting forth the dangerous goods on board and
SOLAS VII, Reg.5
the location thereof available on board the ship?
Dangerous goods may be carried in packed form or in solid form in bulk, and shall be divided into the following classes.
Class 1 Explosives
Class 6.1 Toxic substances
Class 2 Gases: compressed, liquified or dissolved under pressure
Class 6.2 Infectious substances
Class 3 Flammable liquids
Class 7 Radioactive materials
Class 4.1 Flammable solids
Class 8 Corrosives
Class 4.2 Substances liable to spontaneous combustion
Class 9 Miscellaneous dangerous substances and articles, i.e. any other
substances which experience has shown, or may show, to be of
Class 4.3 Substances which, in contact with water, emit flammable gases
such a dangerous character that the provisions of this part shall
Class 5.1 Oxidizing substances
apply to it.
Class 5.2 Organic peroxides
A detailed stowage plan, which identifies by class and sets out the location of all dangerous goods on board, may be used in place of such a special list or
manifest.
E-4
Is damage control plan available onboard the ship?
SOLAS II-1, Reg.23-1/1
Applies to ships constructed on or after 1 Feb. 1992
The damage control plan shall be permanently exhibited or readily available on the navigation bridge.
CHK-SHIP
Page 8
No
Level 1
items to be checked
Level 2
Result
Remark
Level 3
E-5
When the ship carries grain, is a document of authorization as required by the International Grain Code available
SOLAS VI Reg.9
onboard the ship?
Grain includes wheat, maize/corn, oats, rye, barley, rice, pulses, seeds and processed forms thereof whose behavior is similar to that of grain in its natural state.
Continual Improvement
Has the company established any objectives and targets covering short and long term issues?
Has the company established any programmes to help them achieve their targets and objectives?
Has the company consolidate information on new legislation that will have an impact on their operation? Such as MARPOL Annex VI?
Are resources available to handle the in-coming legislation?
Are there procedures to handle any management of change? ( including training and seminar )
Has the Company established any structured risk assessment methodology to identify hazards?
Has the company consider improvement through other certification process such as ISO 14001 and OHSAS 18001?
CHK-SHIP
Page 9