Check list Ship Audit The purpose of this document is to serve as a guideline for preparing and...

Check list

Ship Audit

The purpose of this document is to serve as a guideline forpreparing and conducting an Internal audit before the external audit.

The BV

Company

Management

System

Company

Type of audit : New ship

SSP approved on :

Transfer

Ship type :

Annual Additional

Expiring date :

Report N° Place : Date :

Auditor name and signature :

N° Department audited Contacted person and position

1

2

3

4

Conclusions of the audit : Individual non-conformity report must be attached to this document

Classification Society :

ISM-ISPS Code Internal Audit of the ship Document to be used for reporting the results of the audit of the ship

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Ship’s name :

Flag :IMO number :

SSC issued on :

Expiring date :

Classification Society :

1) Status of the pending non-conformity (ies)

2) New Non-conformity (ies) issued during the present audit

3) Suggestions from auditees to improve the Company Management System ( CMS )( The CMS covers requirements of the ISM Code & ISPS Code )


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Element of the Company Management System

Department audited Rem.

N°1 2 3 4

1 Objectives

The objectives of the ISM Code are understood by theMaster and Officers

2 Health, Safety & Environmental and Security Policy

The policy is signed by the company’s chief executive or other senior executive officer

The CMS manual and related documents are written ina language that can be understood by the officers

Meetings of the safety committee are held in accordance withthe CMS manual every ………….months

The minutes of the safety committee are availableon board the ship

Meetings of the anti pollution committee are held in accordancewith the CMS manual every ………….months

The minutes of the anti pollution committee are availableon board the ship

The company has a training policy defining the objectives ofthe training

The shipboard familiarization is specifically coveredin the CMS manual


The objectives of the ISPS Code are understood by theMaster and Officers

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A copy of the policy is available on board the ship

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N°1 2 3 4

3 Company Responsibilities, Authority & Obligations

All officers and crew are aware of the company policy

The shipboard personnel are given adequate information of thecompany strategy for implementing and maintenance of this policy

Responsibility & authority of the Master, Chief engineer,Ship security officer and other shipboard key personsare defined and documented

The function of company training instructor and supervisor officerhas been defined, documented ad assigned according toSTCW Code requirements

The function of internal auditor has been defined, documentedand assigned according to STCW code requirements


The Ship Security Plan ( SSP ) contains a clear statementemphasizing the Master’s responsibilities and authority

The SSP contains a clear statement concerning the Masteroverriding authority and responsibility with respect to the securityof the ship

The SSP contains a clear statement concerning the Master torequest the assistance of the company or of any contractinggovernments as may be necessary

Necessary supports are given to the Company Security Officer,the Master and the Ship Security Officer to fulfill their dutiesand responsibilities

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N°1 2 3 4

4 Designated person (s) - DPA

The Master and the senior officers are aware of the name( s)of the company designated person (s)

Effective communication links between the ship and the DPA (s)are established

Written communication between the ship and the DPA (s)are available

The updated telephone numbers of the DPA (s) and their backupare available to the interested persons on board

The results of safety and antipollution audits and inspectionsare reported to the DPA (s)

Requests from ships for resources and shore based supportare supervised by the DPA (s)


5 Company Security Officer - CSO

The Master and the Ship Security Officer are aware of the nameof the Company Security Officer

Effective communication links between the ship and the CSOare established

Written communication between the ship and the CSOare available

The updated telephone numbers of the CSO and their backupare available to the interested persons on board

The results of security audits and inspectionsare reported to the CSO

Requests from ships for resources and shore based supportare supervised by the CSO B

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N°1 2 3 4

6 Master and Chief Engineer Responsibility and authority

The Master’s role in the implementation of the health, safety &environmental protection and security policy of the companyis clearly defined

The Master is aware of his responsibility for reviewing the CMSand reporting deficiencies to shore based management(accident, non conformity, review of the CMS,……reports)

The Master attends the office at regular intervals to enable a linkto be established between the ship and shore

Documentation of the specific duties delegated to the officersunder the Master’s command are provided to the Master bythe company

The Master has delegated some of his dutiesWritten communication are available

The Chief Engineer has delegate some of his dutiesWritten communication are available

Appropriate orders and instructions( standing orders, night orders,…..)are issued by the Master and the Chief Engineer

The Master standing orders have been signed by all deck officers

The Chief Engineer standing orders have been signed by allengine engineers

The Master responsibility for training has been defined andDocumented (STCW : applicable to seafarers staring their trainingand education after august 1998)

The motivation of the crew in the implementation and maintenanceof the CMS is achieved ( interview of the crew & officers, crew meetings, instruction of the crew members at embarkation….)


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N°1 2 3 4

7 Ship Security Officer - SSO

The Ship Security Officer undertakes regular security inspectionsof the ship and results recorded as evidences

The SSO maintains and supervises the Ship Security Planincluding any amendments to the SSP

The SSO coordinates the security aspects of the handling of cargoand ship’s stores with other shipboard personnel and Port FacilitySecurity Officers

The SSO proposes to the Company Security Officer modificationsor improvements to the Ship Security Plan

The SSO reports to the CSO any deficiencies identified duringinternal audits, periodic reviews, security inspectionsand verifications

The SSO enhances security awareness and vigilance on board


The SSO ensures that adequate training has been providedto shipboard personnel

The SSO reports all security breaches or incidents to the Masterand the Company Security Officer

The SSO coordinates the implementation of the Ship Security Planwith the CSO and the relevant Port Facility Security Officer

The SSO ensures that security equipment is properly operated,tested, calibrated and maintained

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N°1 2 3 4

7.1 Resources & Personnel (Master Qualif. & Competence)

The company has established, for the specific ship type and trade,the level of qualification required to the command of the ship.(see STCW requirements)

The Master is fully conversant with the company CMS ( CMStraining courses, CMS documentation before appointment ormeetings with office management)

7.2 Resources & Personnel (Understanding of rules )

The officers have knowledge of regulations pertinent to their dutiesand they are able to find those regulations


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N°1 2 3 4

7.3 Resources & Personnel (Manning)

The crew list is availableThe ship is manned to the minimum safe manning certificate

The company ensures that watchkeeping personnel are fit for duty

Drug and alcohol policies are properly posted

All officers and crew are aware of drug and alcohol policies

Drug and alcohol tests are carried out on board if required

The watchkeeping personnel is provided with at least theminimum rest periods prescribed by the STCW Code

Watch schedules are posted where they are easily accessible

The documentation and data relevant to all seafarers aremaintained and easily accessible aboard ( experience, training,medical fitness and competency in assigned duties)

Certificates and documentation of competence for officers andcrew are maintained on board as required by STCW 95

The medical log is kept up-to-date


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N°1 2 3 4

Master & Chief engineer handover forms are available

The task of familiarization is assigned to knowledgeablecrew members aboard

The specific instructions to be delivered before sailing are identify :- safety & security information, symbols, signs and alarm signals for safety and security- what to do in event of man overboard, detection of fire or smoke, abandon ship alarm,- what to do in event of bomb threat, explosion, piracy act, terrorism act, suspect package or luggage,- what to do when change in security level is requested,- Identify muster stations and emergency escape routes, local and lifejackets,-raise the alarm and have knowledge of portable fire extinguisher, close and open fire watertight doors

Questionnaires or forms for the familiarization of officers andcrew members, duly completed, are available

Sufficient time has been allowed for the familiarization, which wascarried out in a language understood by the crew member

All crew members signed the onboard familiarization forms

7.4 Resources & Personnel (Familiarization)

Procedures are in place to ensure that all new personnel andpersonnel transferred to new assignments are familiarized with theship and their duties before being assigned to such duties


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N°1 2 3 4

7.5 Resources & Personnel (Training)

Training records are maintained

The in-service training is conducted according to an approvedtraining program

The in-service training is registered in an approved trainingrecord book

In case of oil tanker, chemical tanker, liquefied gas carrier, thesenior personnel have special familiarization training as requiredThe relevant evidence is available ( course, diplomas,….)

In case of ro-ro passenger ships the personnel who haveemergency duties in assisting passengers have training in crowdmanagement. The relevant evidence is available

In case of ro-ro passenger ships the officers have completed thetechnical training on cargo and hull integrity.The relevant evidence is available

In case of ro-ro passenger ships those :- Providing direct service to passengers or with duties in embarking& disembarking have completed the safety training- With responsibilities for safety of passengers in an emergencyhave completed the crisis management and human behaviortraining The relevant evidence is available ( course, diplomas,….)

The evidence of security training of the master, officers,ship security officer and other relevant ship board personnelis available

The cadet progress is recorded by master or Chief engineerRating appraisal forms are used


The cadet record books are kept up-to-date

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N°1 2 3 4

7.6 Resources & Personnel (CMS Information)

Records of crew briefing on CMS are available

In cases of multi-lingual crews, the CMS information are providedIn languages that are understood by crew members

7.7 Resources & Personnel (Communication)

The nationality of officers and crew is specified on the crew list

A common shipboard working language has been establishedby the company

The ability of the crew to communicate in normal andemergency situations is tested through drills and exercises

The maritime regulation requirement for weekly emergency drillsand training sessions as well as for lowering of each lifeboatto the water every 3 months are complied with

Master and navigation officers are competent in English

Procedures are in place to ensure that designated crew membershave a sufficient knowledge of English


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N°1 2 3 4

8.1 Plans for Shipboard operation (Deck Department)

The access to and from the vessel is in compliance withthe requirements of CMS

Authorized visitor on board are logged

Gangways are properly rigged and lighted

A lifebuoy with lifeline is fitted near the gangway

A fire plan is located at the gangway or outside the entranceto the accommodation

All personnel are wearing safety equipment whenand where required

Sufficient crew are onboard at all times to attend mooring

The preplanning navigation forms or books are availableand duly filled in

The latest navigation warnings and local area weather reportsare available

The ship’s maneuvering characteristics are display on the bridge

The auto/manual steering changeover procedure is displayon the bridge

The pilote information card is available and is regularity used


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N°1 2 3 4

8.2 Plans for Shipboard operation (Tankers)

Cargo ballast plans have been prepared for current operationsand agreed between ship and shore

Cargo handling is carried out as per agreed plans

Suitable pipeline diagrams are available where necessary

The ship/shore check list is filled in and the relevant provisionsare observed

Products hazards and first aid instructions are posted inthe crew accommodation

8.1 Plans for Shipboard operation (Deck Department)

A port log is maintained recording all port activitiesincluding the level of security the ship is operating in the port

Instructions against piracy and armed robbery are available

Enclosed space entries and work permits system is usedPermits duly filled in are available


A port log is maintained recording the level of securityin the last 10 ports visited

The requests for change of the security level are kept on board theShip and available as evidence

Declarations of Security duly completed are available as evidenceof compliance when operating at different security levels with aport facility or one other ship

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N°1 2 3 4

8.3 Plans for Shipboard operation (Ferries & Ro-Ro)

Hazardous cargo are stored in accordance with relevant certificates

Cargo is properly secured

The safety working load (SWL) is clearly marked onthe lifting equipment

8.4 Plans for Shipboard operation (Bulk Carriers)

The ship/shore check list is filled in and the relevant provisionsare observed

The cargo characteristics are available

Product hazards and first aid instructions are posted inthe crew accommodation

Records are available for Hold bilges soundingand Bilge water analysis


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N°1 2 3 4

8.5 Plans for Shipboard operation (Engine Department)

All personnel are wearing safety equipment when andwhere required

All emergency exits from engine room are clearly marked

The portable fire extinguishers are provided with operatinginstructions written in language (s) understood by the crew

The emergency fire pump is provided with operating instructions(if necessary) written in language (s) understood by the crew

Operating instructions are posted next to fixed firefighting systems

Breathing apparatus are ready for immediate use

Vent truck fire flaps and funnel dampers are clearly marked

Accommodation ventilation motors stops are clearly marked

Control systems in case of fire in the engine room are clearlymarked :- Extinguishing system type :…………….- Dampers and ventilation ducts- Engine room ventilators and exhausters- Fuel pumps, separators and valves- Boiler’s fans and burners- Engine room compartment doors (watertight,….)


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N°1 2 3 4


In the steering gear room : The emergency changeover procedure is displayThe rudder angle indicator is clearly visible at the emergency pos.The access is not obstructedThe antiskid floor is provided

The emergency generator is provided with starting and operatinginstructions

Enclosed spaces entries and work permits system is usedPermits duly filled in are available

Safety procedures are followed when using portable welding or burning equipment

Electric and gas welding equipment are in good condition

Spare oxygen and acetylene are store in a well ventilated position

Suitable pollution prevention notices are postedSuitable pollution prevention notices are posted

Procedures are available for cargo, ballast and bunker transfer

During bunkering and fuel transfer, diagrams are properly displayed

During bunkering and fuel transfer, check lists are used


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N°1 2 3 4


During bunkering anti pollution scrapper plugs are in use

During bunkering spill containers and gratings are fitted undermanifolds and fuel tanks

Unused bunker manifolds are blanked and fully bolted

Exposed decks are free from oil or oily material

Equipment is readily available to deal with small oil spill

All crew are familiar with the location of all those equipments

The oil record book is completed and up-to-date

The garbage disposal log book is up-to-date


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N°1 2 3 4

8.6 Plans for Shipboard operation (Medical Department)

The medical department is involved in the CMS

A diarrhea log book is available and duly filled in

The doctor is responsible for the safe custody of drugs

A pharmacy and narcotics inventory is available and up-to-date

Records of pharmacy request are maintained

The hospital equipment is regularly checked to ensurecorrect functioning

The medical department is involved in the training of thestretcher team


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N°1 2 3 4

9 Ship Security Plan - SSP

A ship security plan approved by the Administration or a Recognized Security Organization is available on board the ship

The SSP indicates clearly the actions to be taken at security level 1, 2 & 3

The locations of the ship security alarms and ship security alertsystem are conformed to the approved security plan

Restricted areas are clearly marked and protected according tothe security level the ship is sealing

Security measures to control access to the ship are in placeaccording to the level of security the ship is sealing

Security measures to control restricted areas on board the ship are in place according to the level of security the ship is sealing

Security measures during handling of the cargo are in placeaccording to the level of security the ship is sealing

Security measures for delivery of ship’s stores are in placeaccording to the level of security the ship is sealing

Security measures for unaccompanied baggage are in placeaccording to the level of security the ship is sealing

Means for monitoring the ship security measures are in placeaccording to the level of security the ship is sealing


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N°1 2 3 4

10 Emergency Preparedness

Procedures are in place to ensure crew co-ordination inperforming functions vital to safety or the prevention of pollution

Solas training manual is up-to-date and distributed correctly

Test and drills required by Solas, ISPS Code and flag staterequirements have been carried out and duly recorded

Radio communication tests and drills have been carried outand duly recorded

The updated shipboard oil pollution emergency plan (SOPEP) orvessel response plan (VRP) is available

Test and drills required by shipboard oil pollution emergency planhave been carried out and duly recorded

The emergency plans are approved by the Administration

Muster lists and emergency instructions are updated

The identification of the emergency situations is made fromprevious experience and from analysis of accidents andnear misses

Each crew member is provided with the emergency personalsafety card

ISM6ISPS Code Internal Audit of the ship Document to be used for reporting the results of the audit of the ship

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Element of the Company Management SystemDepartment

audited Rem.N°

1 2 3 4

11.1 Maintenance of the Ship and Equipment

The maintenance system includes systematic plans and actionsdesigned to address all those items and systems covered by classand statutory survey

The maintenance problems are reported to the company

Periodicity of company inspections is in accordance with the CMS manual. Date of the last company’s inspection to the ship:

Copy of the inspection reports or lists of non conformitiesare available

Communication from the ship to the company, whennon conformities have been corrected, are available

Are any deficiencies or non conformities reports outstanding from :- Superintendents- Safety & Security - Conditions of class- Flag state- Port state control


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Element of the Company Management SystemDepartment

audited Rem.N°

1 2 3 4

11.2 Maintenance (Engine, Deck, Machineries, Mooring Eq.)

The inspection and maintenance records are up-to-date andproperly filed

Communications from the ship concerning the implementationof corrective actions are filed

Intervals for maintenance and inspections are established andobserved

The machinery maintenance is in accordance with themanufacturer’ requirements in running hours

The analysis of lube oil, water and fuel oil are regularly carried outThe relevant reports are available

The first engineer’s daily work book is available

Evaluation is made if corrective action is to be taken by the crewor if support from shore is needed

The work list is maintain duly updatedThe dry dock repair items are filed and forwarded to the company

Records of all purchase orders and requests are maintained

The documentation relevant to spare parts and material providedand to be provided on board is properly filed

Non conformity reports are raised against goods or materialssupplied which do not meet specified requirements


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N°1 2 3 4

11.3 Maintenance (Engine, Deck, Machineries, Mooring Eq.)

Periodic functional tests of stand-by arrangements, equipment andsystems that are not in continuous use are carried out

The emergency generator is regularly testedDate of the last test:

Engine room bilges are free from oil leakages and materials andsufficiently free from oil

The sewage treatment plant is functioning correctly

Service records are available for specialist machinery items( machinery alarms and shut down devices, oil water separator instrument and controls, ……

Mooring rope are regularly inspected and their visible partappears in good condition

Winch and windlass brake lining and pins are regularly inspectedand they appear in good condition

Anchors and chains are regularly inspected and their visible partappears in good condition

Deck and mooring area are painted with non-skid paint

The actions taken to rectify deficiencies and non conformities notedduring survey, safety inspection and class societies taken are filed


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N°1 2 3 4

11.4 Maintenance (Bulk Carriers)

Records are available for :- Hold hatch covers inspections- Cargos holds inspections

11.5 Maintenance (Ferry Ro-Ro)

Records are available for inspection and maintenance of : - Bow, lateral and stern doors- Garages- Car decks- Ramps


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N°1 2 3 4

11.6 Maintenance (Ship’s structure)

The inspection and maintenance records are up-to-date andproperly filed

Communications from the ship concerning the implementationof corrective actions are filed

Intervals for maintenance and inspections are established andobserved

The inspections of side doors are regularly carried out

The Chief officer’s daily work book is available

The general conditions of the paint room is acceptable

The condition of fuel and ballast vents as well as of handare satisfactory


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N°1 2 3 4

11.8 Maintenance (Firefighting equipment)

The maintenance log book is available and duly filled in

During the general examination of the ship, the following applianceshave been visually examined and found in good conditions :Lifeboats and lowering arrangementsLife rafts and related hydrostatic releasesLifebuoys and relevant lights or smoke signalsLifeboat and life raft embarkation ladders

Lifeboat and life raft operating instructions are displayed

The firefighting equipment is regularly inspectedThe records of the inspections are available

Service records are available for :- Smoke and fire detection alarm system- Fixed and portable gas detecting equipment- CO2 extinguishing equipment

The hoses and their nozzles are in good condition

11.7 Maintenance (Lifesaving appliances)


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11.9 Maintenance (Security equipment)

The Security equipment is regularly inspectedThe records of the inspections are available

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N°1 2 3 4

11.10 Maintenance (Bridge Equipment)

The equipment for communication is regularly inspected(GMDSS, VHF, Auto alarms,…. )

Inmarsat enhancer group calling for marine safety information isIn used.The relevant procedures are available

The list of radio signals are corrected and up-to-date

The condition of the emergency batteries is regularly checked

The lifeboat radio equipment is regularly tested and the resultsrecorded

All responsible crew is trained in the use of the lifeboat radioand emergency transmitter

11.11 Maintenance (Hotel Department)

The records of the hygiene and sanitary inspections are available( public rooms, crew accommodation areas, kitchen, store rooms,hospital, pharmacy……)

The master weekly inspection of the accommodation andstore rooms are recorded


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N°1 2 3 4

12Report & Analysis of Non-conformities,Accidents & Hazardous Occurrences

When the ship has an accident (damages to the ship or itsmachinery, personnel injury, pollution) or incurred in hazardous situations (near misses)or breaches of security, security threats or security incidents :

The company has investigated the situationsInstructions or corrective actions have been provided

The communication and reporting procedures specified in theCMS documents have been adopted

Communications and reports are filed and available on the ship as evidence


The reports from the ship are available

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N°1 2 3 4

13 Documentation

The updated CMS documents ( CMS manual, and Circular letters)are available as specified by the relevant distribution list


The CMS manual is written in a language that can beunderstood by the senior officers

A copy of the DOC is available on board

The approved Ship Security Plan is available on board

The statutory and class certificates relevant to the ship areavailable on board and in due course of validity

Mandatory rules, regulations and the relevant list are available

Applicable codes, guidelines, standards and the relevant listare available

Technical manuals, drawings, user’s manuals are available

Compulsory manuals, documents and instructions are available(Stability and loading manual, pollution emergency plans……..)

A list of valid circular letters is availableThe circular letters are properly filed

Other correspondence relevant to the CMS is available

Periodic verification of the documents kept in the file is foreseenObsolete documents are disposed of

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N°1 2 3 4

14 Company Verification, Review and Evaluation

Internal audits are conducted by the company at least annually oneach vessel to verify compliance of the CMS

Periodicity of the audits is in accordance with the CMS manualDate of the last audit:

The auditor belong to the company’s staff or to an externalOrganization

The audits are performed on the basis of a check list

Both for the audit report and for requiring corrective action,appropriate forms are foreseen

A review of the adequacy of the CMS is carried out annually bythe company management. The minutes of the review meetingare available

Company’s audits reports or list of non conformities are available

Communication from the ship’s to the company, whennon conformities have been corrected, are available

The report of the last external audit and the list of non conformitiesare available

The corrective actions taken to close-out the non conformitieshave been reviewed by the DPA and/or the CSO, and anexternal auditor, and have been considered effective

ISMISPS Code Internal Audit of the ship Document to be used for reporting the results of the audit of the ship

The annual objectives for continuous improvement are available

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Check list Ship Audit The purpose of this document is to serve as a guideline for preparing and...

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