ISM / ISPS / MLC Vessel:

Master:
Subject: Audit Report

INTERNAL AUDIT

Position:
Date:
Participants: See attached Crewlist

ISM
From
Documents & Certificates

To

Remark

To

Remark

To

Remark

Safety equipment
condition & handling
Safety drills
Bridge, Deck & Engine
condition & maintenance
Closing
ISPS
From
Documents & Certificates
Access control
Security drills
Security equipment
condition & handling
Closing
MLC
Crew Cabins

From

Crew Certificates
Rest Time
Compliant Procedure
Closing

General observations/recommendations

Non Conformity Notes issued: 0

Former NCs closed out: 0
A follow-up audit to examine the corrective measures will take place on: N/A

Page 1 of 6

Auditor: J. Wellbrock

ISM / ISPS / MLC -

INTERNAL AUDIT

Subject: Audit Questionnaire

ISM
1

YES NO

REMARKS

GENERAL
The objectives of the ISM code understood by the
Master/officers?
Office staff?
Are procedures established as safeguard against all identified
risk?
Are applicable codes, guidelines and standards taken into
account?

SAFETY & ENVIRONMENTAL POLICIES

The policies understood & known by the Master/officer/rating?
Office staff?
Are the policies signed by member of the senior management
and posted in the office and on vessels?
Are the safety & environmental policies reviewed at regular
intervals?
COMPANY RESPONSIBILITIES AND AUTHORITY
Management/Master/officers do ensure that personnel are
adequately qualified and experienced to undertake their
duties?
Updated company organisation chart available?
Updated telephone number of D.P. and substitute available?
DESIGNATED PERSONS
Is the D.P. and his deputy known by Master/officers/ratings?
Is there evidence on board/in the office of contact between the
ships and the D.P.?
The result of safety, audits & inspection are reported to the
D.P.?

MASTERS RESPONSIBILITY AND AUTHORITY

Is the management/Master aware of their responsibility in the
implementation of the safety & environmental policies?
Is the management/Master aware of the responsibility for
review
of the SMS & review of the SMS documentation?
Is the Master aware of his responsibility for reporting
deficiencies to
shore based management?
The company shore based management system allows for the
Masters overriding authority & responsibility
RECOURCES AND PERSONNEL
Are Master & officers competent in English?
The officers have knowledge of rules & regulation relevant to
their duties and are able to find these documents?
Is the current crew list available? Are all personnel on board
as per crew list and muster list?
Are emergency drills performed and recorded?
Is the last hand-over form for Master/chief engineer available?
Page 2 of 6

Master review

Are training records maintained?

Is the medical log kept up-to-date?
Are records of crew certificates available?
Are all accident reports completed and send to the company?
Alcohol tests carried out and recorded?
Have qualified crew members been issued with certification
for lifting appliances?
Have all crew members signed familiarisation forms and
confirmed to the office?
8

EMERGENCY PREPAREDNESS
The emergency plans are periodically reviewed, updated &
amended?
Updated SOPEP are available, company contact
is always available?
Is oil spill equipment located as per plan?
Objective evidence that the training of crew for environmental
protection is recorded
Is vessel response plan, ship specific / applicable / correct?
Evidence that all crew are familiar with the location of
equipment
Can crew members show/demonstrate use of equipment?
Is the emergency steering gear change over procedure
posted?
Are fire plans located at the gangway or outside the entrance
of the accommodation?
Evidence that emergency drills are carried out

REPORTS OF NCs AND RCA

NCs issued by the ship against the management?
NCs issued by the management against the ship?
RCAs received by the management, implemented and filed?
Communication & reports are filed

10

MAINTENANCE OF THE SHIP AND EQUIPMENT

Intervals for maintenance and inspections are established,
observed and records available
The maintenance system includes plans and actions to
address
all items and systems covered by class and statutory surveys
and ensure that vessel condition is satisfactorily maintained at
all times
Records of inspections and planned maintenance are
available and up-to-date?
Records of repairs available, deck/engine
Periodic functional tests of stand-by equipment not in
continuous use are carried out
Page 3 of 6

Is machinery maintenance in accordance with the

manufacturer's requirements in running hours?
Service records available for specialist machinery items?
Any outstanding condition of class?
Any outstanding flag state/PSC deficiencies?
Any outstanding superintendent deficiencies?
Any outstanding safety defect?
Records of electrical maintenance available?
Are maintenance problems reported to the company?
Records of all purchase orders maintained?
Are L.O. samples taken/received and sent for analysis
Analysis reports received/filed/sent to vessel?
Is the oily water separator system working correctly?
Dry-dock items filed and sent to the company?

11

All navigation equipment satisfactory and serviced by

contractor listed as approved supplier?
DOCUMENTATION
Updated SMS documents and manuals are available?
Obsolete documents are disposed of?
List of mandatory rules and regulations is available?
Valid circular letters available and filed?
All manuals and drawings listed and available?
Records and reports are properly filed?
Is oil record book up to date?
Ballast operation recorded in the log book?
Bunkering operation procedures available?
Cargo plans / check list available?
Pre-arrival / pre-departure check list in log book?
Vessel port / sea stability calculated and filed?
Is SOLAS training manual up-to-date and available?
Location and copies?
Are latest issues of Company forms used?
All statutory, class and equipment certificates valid and
recorded?
Change of documents correctly filed in the relevant manual,
recorded and acknowledged?
All log book entries up to date as per SMS instruction?
Page 4 of 6

Is the last audit report available?

Is the vessel filing system in accordance with the Company
instruction?
Are all staff familiar with the SMS?
ISPS

YES NO

5
Is a DOS issued for the present port?
7
Are all measures established for the present security level?
Watchmen available according to the SSP?
Access control carried out?
9
Is the SSP stored in a confidential location?
Is the SSP updated
Is the content of the SSP known by the SSO / DSSO?
10
Are training, drills and exercises recorded?
Are breaches of securitys recorded?
Are changes in security levels recorded?
Are internal / external audit protocols available on board?
Is the annual ISPS review available on board?
11

COMPANY SECURITY OFFICER

The CSO is known by all crewmembers?
The duties of the CSO are known by all crewmembers?

12
The SSO / DSSO are familiar with her duties?
13
Training, drills and exercises are carried out according to the
ISPS training schedule?
SSAS test carried out frequently?

MASTER: ____________________ AUDITOR:___________________

Page 5 of 6

REMARKS

( ) Non Conformity ( ) Observation

Name of Dept / Ship:
Name of Master:
Name of QM/DP:

Section A NC / Obs

NC / Obs. No. (office use):

Date:
Place:

Ref: Chapter of ISM Manual

Master signature:

DP Signature:

Section B - Corrective Action

Agreed date for completion of corrective action:

Master signature:

Section C - Follow Up Verification

Date:

- Corrective action has been completed with satisfactory result:

- Corrective action is incomplete and comments are as follows:

Name and signature of DP:

Page 6 of 6