Checklist ISM Audit

Verification List Shipboard Audit ISM Code Page 1 of 14

Type of Audit

Initial Audit

Intermediate Audit

Renewal Audit

Additional Audit

Ship Data Ship’s name

GL-Register No.

How to use this This verification list contains all elements of the ISM Code indicating key points for which special verification list attention should be paid during the shipboard audit (other elements are specially checked during document control and the company audit). Thus the main audit approach should not be to check if procedures exist, but the control, if the policy and procedures (the entire SMS) are implemented at all levels. This verification list shall be completed following the remarks on uneven pages. The remarks on the pages with even numbers are to be used as guidance notes only. The auditor may find and use helpful questions with regard to the respective departments – marked as: M+ O E R C or All

= = = = = = =

Master + Chief Engineer + Chief Officer (Vessel’s Command) Officers - Deck department Engineers - Engine department Ratings Deck & Engine Catering department applicable to all crew members show all questions regardless of the department

These remarks and / or questions must not be ticket. With reference to the ISM Code Preamble, paragr. 4 and 5, it should be borne in mind that these guidance notes should be regarded as examples only. Attention is drawn to additional Flag State requirements (e.g. Liberia, Cyprus, and Luxembourg); be found in ItS, Part I, Chapter 6 ‘Authorization and Statutory National Requirements’

The latest edition of the General Terms and Conditions of Germanischer Lloyd is applicable. German law applies. Germanischer Lloyd

F578E / 2007-05 / IPO

Page 2 of 14

1 1.2 1.2.1 All 1.2.2 All All 1.2.3 M+ M+ M+ M+ M+ M+ 1.4 M+ 2 2.1 M+ All All 2.2 M+ M+ All All M+ C/R E E All 3 3.1 M+ 3.2 M+ All O 3.3 All M+

Germanischer Lloyd

Objectives National: Flag State requirements International: IMO regulations + see also item 6.4 ISM-Code Objectives Where are the objectives of the company defined? Safety Management objectives What are the main objectives? Give samples! How the objectives related to safety and pollution prevention can be achieved? Rules and Regulations Are all Class & Statutory certificates valid and available? Are other certificates valid, e.g. for breathing apparatus, drinking water test etc. Are all certificates endorsed periodically as required? Conditions of Class are dealt with (no outstanding conditions and memorandum) How are you informed about new regulations or significant changes? Has annual office audit been endorsed on DOC, copy on board? Safety Management System (SMS) What are the main functional requirements of the SMS A short review of the SMM shall be part of every audit. Safety and environmental protection policy This item should be ticket / answered at the end of the audit S & E policy What are the company’s objectives to ensure Safety & Environmental protection? In your own words: What is the company policy? Where can you find the company’s policy about Safety & Environmental protection? Implementation of S & E policy How do you implement / maintain company’s policy on board? Who is responsible for Safety & Environmental policy on board? Is the company’s policy posted somewhere? Where? What are the main items you remember of company’s policy in respect of S & E, drugs & alcohol? How is the garbage segregation organized on board? How to handle plastic garbage? What are the requirements for discharging bilge water from engine room? Is the Oil Record Book filled in acc. to requirements? Where can you find the SMM? Company responsibility and authority Authorisation of Management Company Is there any evidence of information to the administration regarding SMS responsibility? Organization Where and what authorities and responsibilities are defined and for whom? Who is appointed for Safety Officer? Who is responsible for GMDSS during sea passage or in case of emergency? Adequate resources & support What is the frequency of D.P. visits on board? How long did he stay on board? What kind of shore support or resources are provided for SMS implementation? Evidence: actual work situation is in line with job description / responsibility scheme. Examples: Is the line of orders clear for multipurpose (deck & engine) ratings? Who is their direct superior?

F578E / 2007-05 / IPO

Page 3 of 14

Verification List Shipboard Audit Requirements

1

Objectives

1.2

Appropriate national and international rules and regulations for the relevant ship are complied with Are statutory certificates valid?

Assessment Result does comply yes no n. a.

Remarks

Classification society rules and regulations for the relevant ship are complied with Are class certificates valid?

2

Safety and environmental protection policy - is available - is basically known to shipboard personnel - is implemented and maintained at all levels on board

3

Company responsibilities and authority

3.2

Personnel concerned with the SMS has clearly worded, unambiguous definitions of their responsibilities and authority Level of competence for the tasks involved is defined Officers do ensure that personnel are adequately qualified and experienced to undertake their duties

Germanischer Lloyd

F578E / 2007-05 / IPO

Page 4 of 14

4 All All M+/O/E All M+/O/E 5 5.1.1 M+ 5.1.2 M+ M+ M+ 5.1.3 M+ M+ M+ M+ 5.1.4 M+ M+ 5.1.5 M+ M+ M+ M+ 5.2 M+ M+ M+

6 6.1.1 M+ M+ M+ 6.1.2 M+ M+ M+ M+ M+

Germanischer Lloyd

Designated person(s) Who is appointed as D.P. and how / where is this published? What is the role or function of the D.P.? What are the authorities and responsibilities of the D.P.? How can you contact the D.P.? To whom would you address Non-Conformities / deviations? Master’s responsibility and authority Implementation of policy How do you implement and maintain the Company’s policy? Motivation How do you proceed with motivation of the crew? (evidence during interviews) What kind of feed-back do you get? What kind of training do you provide to your crew to follow the SMS procedures? Standing orders What are the kinds of orders you are giving? How do you ensure that your orders are followed? Is there a ‘Night Order Book’ used on the bridge? Is it up-to-date and followed? Are there any standing orders for Engine Room and technical operations? (Evidence shall be found by sighting the respective records) Verification How do you verify, that the SMS requirements are observed on board? Do you carry out inspection tours on board? What frequency? Documented? Master’s review Has any Master’s review been conducted according to the procedure? At what frequency? Is the scope of review at least in compliance with the documented procedure? Is there any Non-Conformity found during the review? Is any follow-up needed? Please show me the last Master’s review report! Overriding authority Where your authority and responsibility are defined? What is defined? What do the “Master’s overriding authority” mean to you? Can you tell / show me any evidence of using your overriding authority? When? How? Apart from the respective statement in the documentation the implementation of the overriding authority could be confirmed by occurrences like: - Master had chosen another route than recommended by the company / charterer, due to his own experience in weather routing. – Company limitations for overtimes were overruled by the master due to necessary repairs / maintenance / watchkeeping. Resources and personnel Qualification of master Is Master’s valid Licence with the necessary flag endorsement available? What is the master’s professional history and experience? How many years are you working on board of this type of vessel? Master’s familiarization with SMS How long are you employed with your present company? When, how and what have you been informed about company’s SMS? Is the master familiar with the SMM? Can he easily refer to the respective chapters? Have you been involved in creating the SMM? What kind of shore based support have you get?

F578E / 2007-05 / IPO

Page 5 of 14

Requirements

4

Assessment Result does comply yes no n.a.

Remarks

Designated person(s) - is (are) known on board - the role of the DP is basically known

5

Master's responsibility and authority

5.1.1

- implementing the safety and environmental protection policy of the Company

5.1.2

- motivating the crew in observation of that policy

5.1.3

- issuing appropriate orders and instructions in a clear and simple manner

5.1.4

- verifying that specified requirements are observed

5.1.5

- reviewing the SMS and reporting its deficiencies to the shore based management

5.2

- Is a clear statement available emphasizing that the master has the overriding authority and the responsibility to make decisions with respect to safety and pollution prevention and to request the Company's assistance as may be necessary. Were there any occurrences which did confirm master’s overriding authority?

6

Resources and personnel The master is:

6.1.1

- properly qualified for command (STCW’95 Reg. 1/14.1.1)

6.1.2

- fully conversant with the Company's SMS

Germanischer Lloyd

F578E / 2007-05 / IPO

Page 6 of 14

6.2 M+ M+ M+ M+ 6.3 M+ All All All All All All E/R All O/E/R O/E/R M+ 6.4 O/E/R All O/E/R 6.5

M+ M+ All O/E/R R/C 6.6 M+ O/E/R O/E/R R/C 6.7 M+ O/E/R All

Germanischer Lloyd

Qualification of crew Crew list available? Is the Safe Manning Certificate available? Who is in charge for checking of crew licences / certificates? What would you do, if a new crew member is without complete / invalid certificates? Are all officers and crew STCW certificates issued / recognized by flag state available on board? If not: Is an application available for endorsement? Who is in charge of medical care on board acc. to procedure? What is his qualification? Familiarization of new personnel on board Who is responsible for familiarization and how is this documented? Have you ever received preliminary training prior joining the ship? When? Evidence? Have you received familiarization by Safety Officer or other? When? Any record? What is your duty acc. to the Muster List for boat drill, fire drill? What is the signal for general alarm, abandon ship? Where is the nearest fire extinguisher / fire hose / alarm button etc. from your cabin / usual working area? Please show me the location of Muster Station, Fire lockers, CO2-room etc.? How many emergency escapes do exist in E/R and where? Which are the personal life saving appliances and where are these located? Is there a ‘hand-over’ procedure prescribed and followed? Documented evidence? What ‘hand-over’ time did you get when joining the ship? Is there any / how long is the overlapping time period when signing on? Understanding of relevant requirements Please mention the main relevant international instruments related to Safety and Environmental protection! What does STCW 95 mean for you? How do you get knowledge and understanding of major rules and regulations, i.e. SOLAS, MARPOL, STCW 95, ILO, ISPS etc.? Training Possible evidence: - training plan / schedule - records of training (STCW’95 Chapt. V / VI ) (HSC-Code Chapt. 18.3.6 + Part B 18.6) How do you verify training needs for your crew? How are training needs identified and reported to shore? When did the last drill occur? What was the scenario? When did the last safety meeting take place? What topics? Any records? If a fire occurred in your cabin / working area, what would you do? Information in working language What is the official working language defined with the SMS / reported in log book? What is the language understood by all crew members? What will you do if you detect that some ratings are not understanding your orders? Do you understand all wording / language of SMM and officer’s orders? Communication How many languages are spoken on board? Can the crew communicate with each other and with you effectively? What is the language used during drills, instructions, critical operations etc.? A good evidence: Witnessing a safety drill (Fire, Boat, MOB-drill etc.) including the demonstration of using various safety equipment, e.g. BA set, fire-extinguisher, EEBD, emergency steering equipment and adequate communication devices etc. (should be agreed with master).

F578E / 2007-05 / IPO

Page 7 of 14

Requirements

6.2

Assessment Result does comply yes no n.a.

Remarks

The ship is manned with qualified, certificated and medically fit seafarers in accordance with national and international requirements (records are available) (STCW’95 Reg. 1/14.1.1-2) documentation and data relevant to all seafarers employed are maintained and readily accessible, and include, without being limited to, documentation and data on their experience, training, medical fitness and competency in assigned duties. (STCW’95 Reg. 1/14.1.3)

6.3

Is evidence available that new personnel and personnel transferred to new assignments related to safety and environmental protection are given proper familiarization with their duties? (STCW’95 Reg. 1/14.1.4)

6.4

It is ensured that all personnel involved in the company’s SMS have an adequate understanding of relevant rules, regulations, codes and guidelines

6.5

Is evidence available that necessary training is identified and provided including additional training requirements.

6.6

Is evidence available that ship's personnel receive relevant information on SMS in a working language or languages understood by them ?

6.7

Is evidence available that the ship's personnel are able to communicate effectively in the execution of their duties related to the SMS? (STCW’95 Reg. 1/14.1.5)

Germanischer Lloyd

F578E / 2007-05 / IPO

Page 8 of 14

7 M+ All O O/E M+/O O/E/R O/E O O O O R/C O O O/E/R E E E E E E O/E O/E O

8 8.1 O/E/R O/E/R M+/O O/E/R R/C R All 8.2 M+ M+ All All Germanischer Lloyd

Development of plans for shipboard operations How do you make the relevant instructions and guidelines known to the releated staff? Is there evidence for the above said? Please show me your voyage planning (incl. Charts, way points, nautical and metrological publications etc.)! Please show me your pre departure, pre arrival check lists! How are they documented? Which steps would be taken in case of reduced visibility, dense traffics, heavy weather conditions etc.? Is this documented somewhere? Where? Please show me the actual watch plan How are the rest periods for crew members on watch are recorded? Do you have a back up available for electronic sea charts, if applicable? What procedure do you get for loading supervision? Please show me your stability calculation for loading operation? Previous conditions? How do you control the loading / unloading of Dangerous Cargoes? Are and how are you informed about dangerous cargo position and risks? Please show me your IMDG cargo manifest(s)? How many reefer containers will be on board on departure? What is the max. capacity? What are the critical operations for which the various tasks are defined and assigned to qualified personnel within the SMM? What kind of preparations have to be done prior bunkering? Do you keep on board the bunker samples for at least one year? (Marpol Annex 6) Do you keep on board the bunker receipt for at least three years? (Marpol Annex 6) Has the company a contract with a special laboratory for bunker analysis? (Marpol Annex 6) Do you compare the laboratory analysis results with the value mentioned in the bunker reciept? Please explain your procedure how to handle oily water / sludge etc.! What is the procedure to enter into enclosed spaces? Is this prescribed / documented? How do you control the storage of cleaning chemicals, paint etc.? Could you please demonstrate how to operate the GMDSS? How to send emergency message via MF / HF? Examples for key shipboard operations (not necessarily a complete list) : - ensuring watertight integrity - navigational safety (including correction of charts) - maintenance operations - bunkering operations and oil transfer in port (at sea) - preventing overloading and overstressing - lashing of cargo (containers) - ship security, piracy, terrorism - navigation in confined waters or high density traffic areas - navigation in conditions of reduced visibility - operations in heavy weather conditions - handling and stowage of hazardous cargoes and noxious substances - cargo operations on gas, chemical and oil tankers - critical machinery operations Emergency preparedness Procedures for Emergency Shipboard situations How many identified emergency cases are defined in the SMM? Do contingency plans exist to cover all emergency cases? What is the frequency of emergency steering gear test? Is it documented? Please describe / demonstrate the process for emergency steering gear! You notice smoke coming from the vent of a cabin door, what would you do? You notice smoke coming from the separator room, what would you do? What is your function in case of fire, abandon ship, oil spill etc.? Programmes for drills and exercises Please show me your (annual) plan for drills and exercises! Which are the main tasks and qualified personnel to the following potential shipboard situation? (One situation to be selected from the SMM) When was your last safety drill? What was your function? Witnessing a safety drill
see 6.7 F578E / 2007-05 / IPO

Page 9 of 14

Requirements

7

Assessment Result does comply yes no n.a.

Remarks

Development of plans for shipboard operations Key shipboard operations are identified and covered by procedures / instructions Tasks involved are defined and assigned to qualified personnel Is personnel following established procedures (random check)? is there documented evidence that the rest periods for watch keeping personnel are being complied with (STCW’95 Chapt. A-VIII / 1.1-4) are watch schedules posted which are easily accessible (STCW’95 Chapt. A-VIII / 1.5)

8

Emergency preparedness

8.1

- Potential emergency shipboard situations are identified and described - Contingency plans are available

8.2

- Programmes for drills and exercises covering all identified cases of emergency are available (STCW’95 Reg. 1/14.1.5) - Records of drills and exercises are maintained

Germanischer Lloyd

F578E / 2007-05 / IPO

Page 10 of 14

8.3 M+ M+ M+ O/E

9 9.1 M+ O/E/R M+ M+ 9.2 M+ M+ M+ 10 10.1 M+ M+ O/E/R M+ O/E/R O/E O/E E

10.2.2 O M+ M+ 10.2.3 M+ 10.2.4 M+ O E

Germanischer Lloyd

Company’s emergency response In case of emergency how could you communicate with the company? What is the procedure for reporting drills & exercises to the company? Special forms? Which parties to be informed regarding an emergency situation? Please show me the contact list in order to reach the company office? Shipboard contingency plans should include - allocation of duties and responsibilities on board - actions to be taken to regain control of the situation - communications methods to be used - procedures for requesting assistance from third parties - procedures for notifying the Company - maintaining communications between the ship and shore - procedures for dealing with the media Examples for emergency situations (not necessarily a complete list) : - structural failure, - main engine failure, - steering gear failure, - collision - grounding / shifting of cargo, - fire, - serious injury, - terrorism or piracy - heavy weather damage Minimum evidence for performance of drills is the entry in the log book. Reports and analysis of non-Conformities, accidents and hazardous occurrences Procedure for reporting What procedure do you have to follow for reporting? Which forms to be filled? Please show me evidence of previous N/Cs, accidents and hazardous situation! How the process is documented to ensure that N/Cs, accidents and haz. Situations are properly reported, investigated and analysed? Who is responsible for? What Corrective Action did you receive from your company after N/C on this / other ships? Procedure for implementation of Corrective Action Please describe the procedure for proposing corrective action and follow-up! How do you evaluate the effectiveness of C/A on board? What is the time frame for corrective action completion? - Possible evidence: copies of reports which were sent ashore Maintenance of the ship and equipment Procedures for maintenance Please show me your annual maintenance plan! Have you verified that this plan is established acc. to the SMM & ship’s / engine condition? Please show me the maintenance records for last jobs carried out! What kind of supporting documents (drawing, manuals etc.) are available? How the spare parts are planned stored and recorded? Please show me your maintenance plan for the equipment under your responsibility! How is the daily work list generated? If your engines > 130 kw are provided with an EIAPP (Eingine International Air Pollution Prevention) Certificate, have you a procedure in your maintanace system to gurantee that only genuine main spare parts are used? (Marpol Annex 6) Inspection intervals Are the life saving appliances checked monthly? Documented evidence? What is the frequency for inspections by company’s representative? Reporting of Non-Conformities Are there any Non-Conformities recorded from last inspection? Corrective Action How are you dealing with this N/Cs and corrective action? Records What documents are used for reporting results upon inspection completion? Please show records regarding maintenance for LSA & fire fighting equipment Is there any record available for M.E. regarding operation condition, Cyl. Condition, crankweb deflection.

F578E / 2007-05 / IPO

Page 11 of 14

Requirements

8.3

Link ship / company guaranteed?

9

Reports and analysis of non-conformities, accidents and hazardous occurrences

9.1

Relevant procedure available and known?

Assessment Result does comply yes no n.a.

Remarks

Non-conformities, accidents and hazardous occurrences are reported to shore 9.2

Corrective action is applied to these cases

10

Maintenance of the ship and equipment

10.1

Are procedures available to ensure that the ship is maintained in conformity with the provisions of relevant rules and regulations and with any additional requirements which may be established by the Company? Is evidence available that:

10.2.2

any non-conformity is reported with its possible cause

10.2.3

appropriate corrective action is taken

10.2.4

records of these activities are maintained

Germanischer Lloyd

F578E / 2007-05 / IPO

Page 12 of 14

10.3 O/E/R O/E

11 11.1

11.2

11.3

Procedure for identifying safety equipment and testing Please describe the equipment and technical systems, the sudden operational failure of which may result in hazardous situations! How are these identified? How is the stand-by equipment, not regular in use, tested? What is this equipment? Possible evidence: - list of equipment - records of inspections / testing of the equipment

Documentation Procedures for controlling documents and data M+ Who is authorised to approve changes to documents? All How can you check whether documentation is kept under control? M+ How is the SMM distributed to different locations kept under control? M+ Please indicate some of the last changes in the SMM! Filing of documents O/E/R How are the SMS related documents are filed on board? M+ Which are the tasks involved and to whom are they assigned to ensure that only valid documents are distributed to all relevant locations? M+/O/E How are the changes received by the company are integrated in shipboard documentation? SMM M+ How many controlled sets of the SMM do you have on board? How to control this? M+ Which is the most effective form to keep the SMS documentation on board? M+ What measures are taken to ensure that the relevant information provided by the SMM can be retrieved? Possible evidence: - Documents are dated and signed - amendments to documents are dated and signed - no obsolete documents (same document available twice with different revision status) - people are aware of what to do with superseded / obsolete documents

12 12.1 M+ M+ M+ M+ 12.2 M+ 12.3 M+ M+ 12.4 M+ M+ 12.5 M+ M+ M+

13 M+ M+ M+ M+

Germanischer Lloyd

Company verification, review and evaluation Internal audit When was the last internal audit conducted on board? By whom? In accordance with SMM? What are the findings out of the last internal audit? Please show me the last internal audit report! What do you think is the main objective of an internal audit? Management review Do you have any knowledge / records of the last Management review (not mandatory!)? Corrective Action Is corrective action proposed according to the procedure? What are the N/Cs found during last internal audit on board? Internal auditor Who is appointed by the company to perform internal shipboard audits? Is the internal auditor independent of the areas audited? Responsibility for corrective action How is the process to decide the appropriate C/A for N/Cs found during last internal audit? How are the C/A for N/Cs implemented? Is any follow-up available on board? Recorded? When closed out? Possible evidence: - copy of audit report available on board - result of audit(s) / non-compliances are known to master / officers - records of corrective actions performed Certification and periodical verification Is a copy of the DOC available? Is it valid? Is the original SMC available? Is it valid? Do you know the details of the last external audit? Records available? Is the intermediate audit with/within the time frame?

F578E / 2007-05 / IPO

Page 13 of 14

Requirements

10.3

Assessment Result does comply yes no n.a.

Remarks

- Are equipment and technical systems identified the sudden operational failure of which may result in hazardous situations - Is evidence available that such equipment is regularly tested?

11

Documentation Is evidence available that: - Valid and approved documents are available at all relevant locations - Changes to documents are approved by relevant personnel - Obsolete documents are promptly removed

12

Company verification, review and evaluation

12.1

Evidence is available that internal audits (at least one prior to the certification audit) have been carried out on board

12.4

Audits carried out by independent personnel

12.5

Results of audits and reviews are known to the relevant personnel on board

12.6

Evidence is available that corrective action has been taken on any deficiencies found on board (if applicable) Non-conformities of previous internal audits have been closed out Non-conformities of previous external audits have been closed out

13

Certification, verification and control

13.1

A copy of the valid Document of Compliance (issued by the Administration, by an organization recognized by the Administration or by the Government of the country in which the Company has chosen to conduct its business to the Company operating the ship) is available on board

13.2

Evidence is available that the Administration or an organization recognized by the Administration has periodically verified the proper functioning of the ship's SMS (Applicable for follow-up audits only).

Germanischer Lloyd

F578E / 2007-05 / IPO

Page 14 of 14

Comments (if applicable)

Auditor

Germanischer Lloyd

Date

Signature

F578E / 2007-05 / IPO