Combined Internal ISM ISO ISPS Audit

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Combined Internal ISM ISO ISPS Audit

INTERNAL ISM AUDIT CHECKLIST

ISM

Health, Environmental Protection, Safety and Quality Management System

Is the Fleet Manual version 1/2013 known to the crew and followed accordingly?Is it known which version is the controlled version and which are the non controlled version?

Are the effective statutory certificates and survey records available on board?

Is the validity of statutory certificates i.o. And if not is the Company informed as per procedures?

Is the class certificate properly endorsed?

Are classification survey records maintained properly?

Is the vessel manned in compliance with the safe manning document?

Does each Master and Officer hold an appropriate cert. in accordance with STCW ( or dispensation)?

Is the procedure followed about the control of the documents in the HESQ system? Are the hard copy FM kept up to date ?

Are the nautical charts and Notice to Mariners controlled properly? (ISM Code 1.2.3.1 / 7)

Are records kept as per Company Procedures?

Human Resources

How is the Crew's Qualification checked prior to emplyment (/by who), and how is it verified during signing on?

Is personnel appraised in regular intervals? Who appraises?What is the appraisal criteria?

If apprentices/ cadets on board: are training record books available, kept, and signed by the Master?

Is the Drug- and Alcohol Abuse Policy known to everybody and is the "limit" clearly understood?

Is the procedure about Change of Command clearly understood? (Hand over the watch/ Handing over of Functions)

Are SOLAS Training Manual and Fire Operational Booklet available in the mess room? Are the ship specific chapters filled out?

Are the regulations regarding working and resting times for seamen clearly understood and are records kept accordingly and true? (Comparison with Log Books/ Bell Book)

Is the company's general approach regarding Safety at Work understood by all crew? ( - everybody is himself responsible at first place for his own safety)

Infrastructure and Work Environment

Procedure about entering tanks and other confined spaces

Procedure about Hot Work

Preparation for an emergency (Material Safety Data Sheets available at Chemical- and Paint Store)

Regular checking on gangways and accommodation ladders

Maintenance of Ship, Engine and Equipment

Is the procedure about Risk Assessments known? Are Risk Assessments carried out?

Purchasing

Internal Requisitioning

External Purchasing

Receiving goods and reporting to the office.

Are newly assigned crewmembers properly familiarised?Is a Safety Familiarisation carried out for all on-signing crew?Are the specific familiarizations carried out for nautical/ technical officers?

Service Provisions

Are Standing Orders/ Night Orders being issued, properly signed and controlled?

Are checklists available and followed for the preparation for arrival and for departure? Is the Master aware of Go-/ NoGo Situations?

Is voyage planning carried out in accordance with the procedure, containing all necessary data, from berth to berth?

Are the nautical officers aware about the procedure for navigation in restricted waters?

Are the nautical offiers aware about the procedure for navigating in heavy weather?

Are procedures in regard to Loading and Discharging Operations avalable and understood?

Are procedures in place in regard to treatment and supervision of cargo?

Are Master, Cargo Officer and deck Officers aware about the procedure regarding the carriage of Dangerous Cargo?

Is everybody aware about the procedure regarding Environmental Protection? (MARPOL V Company Letter)

Is the BWMP available and is Ballast Water Management being carried out?

Is the Shipboard Working Arrangements clear, up to date, and in compliance with work/ rest time calculations?

Are Officers aware and are procedures in place in regard to marking with inspection and test results?

Are storage areas defined and kept tidy?

Is a Bunkering Procedure in place and is it being rigurously followed?Is the relevant Checklist being worked through?

Are parts for repair handled in accordance with the relevant procedure?

Is the Garbage Management Plan available updated and important information displayed as required? Is it known to all crew?

Monitoring and Measuring

Are vessels and Engine Operational Data being properly recorded? (Log books, GLSM,etc.)

Are technical inspections being carried out by the Superintendant twice a year?

Date and place of last 2 visits by technical superintendant?

Are Lifesaving- and Firefighting Appliances regularly insected, and is the Safety Officer aware about the requirements of carriage?

Are technical Officers aware about the Critical Equipment on board? Can they show a list of critical equipment? Can they describe/ show how to classify critical equipment?

Is critical equipment regularly checked and are records available? (See PMS)

Are officers aware about external Class /Flag surveys and how an external surveyor is to be treated?

Internal Audits

Is the procedure regarding Internal Audits known by the Master and Senior Officers?

When was the last internal Audit carred out?

What was the result of the last internal Audit? Have all Non Compliances been closed out properly and all corrective and preventive actions been done?

Control of Non Conformity

Is everybody on board aware, that deficiencies have to be reported? In GLSM compliance module.

Date of the last PSC:

Place and Result of the last PSC

Date of the Last Flag State Inspection

Place and Result of the last Flag State Inspection

Date of last external ISM audit

Place and Result of last External ISM audit

Date of last External MLC-2006 audit

Place and Result of last external MLC-2006 audit.

Is the class status of the vessel valid?

Date of last Class Survey statement

What is the number of the last Class Survey statement and what are the open items?

Are damages and claims properly reported and followed up?

Analysis of Data

Are senior Officers aware, that deficiencies detected by external surveyors have to be reported by using the GLSM compliance module?, one Report for each deficiency? Are Non Conformities, Accidents, Occurrences and Serious Incidents properly reported?

Improvement

Is the Term "Corrective Action" clear and known by all Officers?

Is the term "Preventive Action/ Action to prevent recurrence" known to all Officers?

Are Drills and Trainings to Prepare for Emergency Situations carried out as required and logged accordingly?

Has the Emergency Telephone Number been tested successfully?

Who answered the Emergency Call?

Certification Verification and Control

Is a valid Copy of the Document of Compliance (Company) available?

Are the results of the external ISM audits available and satisfactory? If not NCN follow report numbers to be named.

Last external ISM Audit carried out on:

If NCN's or Observations were issued is a proper follow up done in GLSM Compliance module done?Please report GLSM report numbers.

Environmental Protection

Are environmental objects and program available?

Are environmental aspects available?

Are environmental targets available and understood?

Remarks

The Master is fully conversant with the HESQ System

The Chief Engineer is fully conversant with the HESQ System.

The Chief Officer is fully conversant with the HESQ System.

Is all crew sufficiently conversant with the relevant items of the HESQ System Safe Working Practices and ISM Requirements(on their level)?

Have the log books been reviewed including related documentation in Audit report and via Log Book entry?

Have the Gas Detecion Devices been calibrated annually?

(If applicable) Have all Non Compliances and Observations from previous Audits been duly dealt with?

Has the Planned Maintenance System been controlled?

Further Remarks:

ISPS

General

Are Objectives and Security Policy known as required?

Do Officers/ Engineers know about the Functional Requirements?

Definitions

Do Officers/ Engineers have sufficient knowledge about the Terminology?

Is the "Company" identified?

Application

ISPS Code's correct Application to this Ship?

Are the Flag State's Additional Requirements known?

Is Part B if applicable duly taken into account?

Responsibilities of contracting governments

Is it known who sets the security level for the ship?

Is the Master's Ultimate Responsibility for the ship clearly defined and known?

Is Security Information being exchanged with PFSO?

Is a list of Security Contact Points available?

Are working and restng times sufficiently taken into account in regard to Security Duties?

Declaration of Security

Do SSO/Deputy have sufficient knowledge about the Declaration of Security?

Is there a retention period for Declarations of Security?

Is there a procedure about how to handle requests for a Declaration of Security by a Port Facility?

Is the SSO aware about the circumstances when a Declaration of Security has to be requested?

Obligations of the Company

Is the Master's overriding Authority clearly defined?

Does the Company provide sufficient support to CSO/Master/SSO?

Is the responsible party for the appointment of shipboard personnel defined?

Is the responsible party for decision about the ship's employment defined?

Ship Security

Officers'/ Engineers' knowledge about the different Security Levels sufficient?

Are the parties of the charter party including contacts defined?

Is it understood that an Acknowledgement of Receipt has to be sent to the Flag State Administration?

Acknowledgement of Receipt of higher Security Level Information and confirmation of Initiation of the Implementation of respective Security Measures according SSP

Cooperation/ Communication with PFSO

Ship Security Assessment

Is the Ship Security Assessment available?

Is the Ship Security Assessment being kept confidential?

Are the Flag State's additional requirements fulfilled?

Ship Security Plan

Is the approved Ship Security Plan available?

Is the Ship Security Plan kept confidential?

Are the Flag State's additional reqiorements on SSP fulfilled?

Is the language of the SSP as per requirements?

Is the location of the SSAS Activation Points known to key personnel?

If the SSP is available in electronic format - is it kept confidential and protected from tampering with?

Is it clear to the SSO in which case PSC Officer may request to see the SSP itself (instead of only the approval letter)?Does he know that the PSCO can only be shown the part of the SSP he has clear grounds to doubt it is being fulfilled?

Is the Effectiveness of the SSP regularly assessed? (SSP-Review available)?

Is it clear how ammendments to the SSP are to be prepared?

Are duties and responsibilities of shipboard personnel with a security role clearly defined?

Is there a procedure for the maintenance of continuous communication in place?

Are procedures to assess the continuous effectiveness of the ship security procedures and equipment including identification of/ resonding to equipment/ systems failure in place?

Is there a procedure to protect security sensitive information in place?

Are there type- and maintenance requirements of security and surveillance equipment systems in place?

Are procedures in place for the submission and assessment of reports relating security breaches or security concerns?

Are procedure in place to keep an inventory of dangerous goods (cargo) and hazardous substances (domestic) carried including their location?

Are procedures in place to control the access to the ship?

Are procedures in place to control the access to restricted areas?

Are procedures in place to control the handling of cargo?

Are procedures in place to control the delivery of ship's stores?

Are procedures in place regarding the handling of unaccompanied baggage?

Are procedures in place ensuring the monitoring of the security of the ship?

Are procedures in place regarding the handling of differing Security Levels?

Are procedures in place regarding activities not covered by the Code?

Records

Is the minimum retention period defined?

Is the confidentiality of records ensured?

Is the language of records defined?

If records are kept in electronic format - are confidentiality and retention of records ensured?

Company Security Officer

Is a Company Security Officer for this ship appointed/ declared?

Are the tasks of the company security officer defined?

Ship Security Officer

Is a Ship Security Officer appointed?

Are the tasks of the Ship Security Officer defined?

Is the Ship Security Officer fully conversant with the Ship Security Plan?

Trainings Drills and Exercises on Ship Security

Is the Ship Security Officer trained (if required Flag State Approved Training course)?

Is personnel with specific security duties adequately trained?

Has personnel participated in Security Awareness Trainings?

Are Security Drills carried out regularly?

Are security exercises (with the company) carried out regularly?

Verification and Certification for Ships

Valid International Ship Security Certificate available?

Are the results of external Audits satisfactory?

Date of last external ISPS audit

Have changes been taking place in the approved security system?

SOLAS Requirements

Is the Automatic Identification System (AIS) working (V Reg.19)?

Is the ship identification number installed as per rules (XI-1 Reg.3)?

Is the Continuous Synopsis Record complete (XI-2 Reg.4)?

Are specific company responsibilities complied with (XI-2 Reg.5)?

Is the ship security alert system tested according to the rules (XI-2 Reg.6)?

Assessment Review

Has a Ship Security Assessment been carried out since last Audit?

Are records of the last SSA available?

Are comments/ action on the last SSA-review from CSO available?

Has a SSA-review been carried out in course of this audit (Report prepared and attached)?

Remarks

Remarks

Completion of Audit

The combined audit has been completed. Audit Participants as per attached Audit Participants List.

Date/ Time of Completion

Name auditor

Auditor's Signature

Name Master

Master's Signature