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Purpose
To outline the checks for ISM /ISPS/MLC Audit preparation

1. Checks for ISM / ISPS / MLC Audit

S.
Task Resp. Date Done
No.
Documentation Required
1. � All shipboard manuals updated and available Master
2. � Navigation And Mooring Manual (NMM on bridge) Master
Objectives of ISM Code
1. � Crew briefed on objectives on the ISM Code. Refer PAM 4.1 Master
Safety and Environmental Protection Policy
1. � QHSE Policy, D&A Policy posted in conspicuous locations C/O
2. � Crew briefed on Company polices PAM Ch.5 Master
Company Responsibility and Authority
1. � Company Responsibility Authority and Structure understood. PAM 7.1 Senior Officers
2. � Interrelation Between Vessel and Shore understood. PAM 7.2 Senior Officers
3. � Emergency Contact File updated and available onboard Master
Designated Person(s)
1. � DPA/EMR Poster posted in conspicuous locations C/O
2. � DPA Role explained to crew Master
Master’s Responsibility and Authority
1. � Master’s Responsibility and Authority understood. PAM Ch. 8 Master
Resources and Personnel
1. � Vessel complies with minimum safe manning requirement Master
2. � Crew certificates and endorsements, including required by Flag Master
� Pre-Joining medical reports, D&A declarations and Yellow Fever
3. Master
vaccinations
� Safety Familiarisation Checklist for all Crew (D/32A) and others if any
4. 3/O
(D/32/B)
Officers
5. � Individual Job Familiarisation Checklist for all Officer’s and crew
C/O & 2/E
6. � Deck Officer’s Bridge & ECDIS Familiarisation Checklist 2/O
7. � All crew have read the relevant sections of Company SMS manuals Master
8. � Regulation Update File read by all Officers Master
9. � Competency Management System (CMS) / Training Record Books Master & C/E
� Shipboard Trainings as per vessel-specific Training Planner and records
10. 3/O
maintained. PAM Annex 2,3 & 4
11. � English as working language. PAM 11.1 Master
12. � Safety Violation Reporting (Speak Up Program- PAM 7.5) Master
Master and
13. � Environmental Non-compliance Reporting System – EMM/1- 14.1
C/E
14. � QHSE & Security Meetings- TEC 30 Master
� All Officers aware of environmental targets /objectives and program for the Master and
15.
current year – EMM Part 2 C/E
Shipboard Operations

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S.
Task Resp. Date Done
No.
1. � Vessel Specific Checklist and Work instructions in use C/O & 2/E
2. � Job responsibilities as per PAM Ch. 9 All staff
C/O, 2/O, C/E
3. � Shipboard Filing System maintained as per PAM Ch.19
& 2/E
4. � RA process implemented and records maintained C/O & 2/E
Emergency Preparedness
1. � Vessel specific emergency checklist ready and available for use Master
2. � Drills as per vessel-specific planners 3/O
3. � Emergency Contacts File available and updated Master
4. � Port contacts entered in SOPEP File 3/O
� Shore Emergency Response Team (ERT) procedures understood. ECM
5. Master
5.1
� Emergency Office Contacts as per - ECM Annex 1 checked and posted
6. Master
near the communication station
Reports and Analysis of Non-Conformities, Accidents and Hazardous Occurrences
� Non-conformities (NCN) handled and records maintained (TEC45) PAM
1. C/O & C/E
18.1
� Incident / Near Miss Reporting /STOP- TEC 26A/B/C or in OM/Jibe. H&S
2. Master & C/E
11.3
Maintenance of the Ship and Equipment
� PMS made vessel specific and in use. Printouts filed and backups taken
1. C/E
as necessary
2. � Safety Critical Items identified and maintenance schedules checked C/E
3. � Minimum Spare Parts List prepared and approved by Vessel Manager C/E
� Maintenance carried out as per the PMS and History, maintenance records
4. C/E
entered
� Deck and Machinery 4-Monthly Reports (TEC 04A and TEC 05A) filed and
5. C/O & C/E
sent to office
� Monthly Maintenance reports for Deck, Engine & Electrical (Form TEC 20)
6. C/O & C/E
filed and sent to office
� Alarm Testing records maintained as per PMS and Deck and Engine
7. C/O & 2/E
Room Inactive checklists
8. � Requisition for spares made and followed up with office C/O & C/E
� Technical Defect Ongoing List-Maintenance NCN – TEC 31 maintained
9. C/O & C/E
and reported to Vessel Manager
Documentation
1. � Company SMS manuals updated and available Master
2. � Technical Library as per General Circular No.18 2/O
3. � Charts and Publications available for voyage and updated Master & 2/O
4. � Master’s Monthly verification done – D/23 Master
5. � C/E’s Monthly verification done – E12 C/E
� Garbage Management Plan implemented
� Record book maintained
6. � Receipts filed, C/O
� Placards displayed
� Crew instructed on segregation / disposal.
� Ballast Water Management Plan implemented
7. � Record book maintained C/O
� Ballast water treatment / exchange carried out
� Oil Record Book (Part 1) and (Part2) (as applicable) entries made correctly
8. C/E & C/O
and signed as required
9. � LSA / FFA IMO Symbols posted as required by IMO. 3/O

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S.
Task Resp. Date Done
No.
� Official Log Book (OLB) as required by Flag State Regulations. Relevant
10. entries made and signed. Freeboard Notice for Arr. / Dep. posted in Master
conspicuous location where it can be viewed by all crew
� Loadicator tested to match results with test conditions of the Loading
11. C/O
Manual and these test records filed
Company Verification, Review and Evaluation (Audits)
� Internal Audits done
� Audit Non conformities and findings closed on priority basis Company
provided software program is used for follow-up and closing out of
1. Master
internal audit findings. The Master must analyse the basic cause of the
NC and take corrective and preventive actions for each NC/ observation,
as applicable and complete the closeout within 3 months of the audit.
� External Audit Done
� Audit Non Conformities and Observations closed, office informed. Rectify
the NCs immediately and always within the target date specified in the
2. Master
report. The ‘closed’ reports signed by Master must reach the office within
2 months of the audit, who will then inform the flag state / RO. They
usually close the report within 3 months
3. � Superintendents Inspection Reports and follow ups Master & C/E
4. � Copy of Management Review available on board Master
5. � All officers aware of the audit findings and corrective action taken Master & C/E
Certification and Periodical Verification
1. � Interim ISM / ISPS / MLC Certificate on board Master
2. � Copy of Document of Compliance (DOC) available Master
ISPS External Audit
1. � Company Security Policy. PAM 5.7 C/O
2. � Declaration of Security certificate available in certificate folder C/O
3. � SSA records and Approved SSP onboard C/O
� Ship Security Alert System (SSAS) – Officers aware of the location and
4. C/O
last test records available on board
5. � Security Logbook – records maintained C/O
6. � Security drills as per vessel-specific drill planner and records maintained C/O
� Ship security inspection carried by SSO and records maintained in security
7. C/O
logbook
8. � Vessel Security Records maintained (2CO_08). PAM 19.5 C/O
9. � Key Control Register maintained as per SSP Annex 5 C/O
10. � Gangway Security Notice posted as per SSP Annex 7 C/O
Crew briefed on:
� Security Duties
� Security Levels
� Role of Company Security Officer (CSO)
11. C/O
� Role of SSO (Ship Security Officer)
� Requirements for ID check and baggage check
� Procedures on monitoring of decks and surrounding area
� Procedure for reporting security breaches
� Record of Ship/Shore Security Exercise for the respective fleet and vessel-
12. Master & C/O
specific review available onboard
� Anti-piracy plan and anti-piracy kit available on board as per vessel trading
13. C/O
area
MLC External Audit
1. � MLC certificate, DMLC Part I and II available Master

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S.
Task Resp. Date Done
No.
� MLC certificates /documents posted in displayed at a conspicuous
location, accessible to all ship staff and ship staff are aware of it:
� Declaration of Maritime Labour Compliance (DMLC) – I
� Declaration of Maritime Labour Compliance (DMLC) – II
� Minimum Safe Manning Document
� Maritime Labour Certificate
2. Master
� Certificate of Insurance or other Financial Security in respect of Ship
Owner’s Liability as required under Regulation 4.2, Standard A4.2,
Paragraph 1(b) of the MLC 2006 as amended
� Certificate of Insurance or other Financial Security in respect of Seafarer
Repatriation Costs and Liabilities as required under Regulation 2.5,
Standard A2.5.2 of the MLC 2006 as amended
Master, C/O,
3. � Work Rest Hours records maintained
C/E and 2/E
� Seafarers Employment Agreement (SEA) (Contract + CBA + TOE) Terms
4. of Employment (TOE) and CBA available for all types of nationalities on Master
board
5. � Officer’s flag and medical certificates MLC A 1.2 Master
6. � Cook’s training certificate. MLC A 3.2 Master
� Special Training Certificates on offshore vessels – Such as Fork lift, Crane
7. Master
operator, Gantry Crane operator, Welder, High Voltage Certificate for EO
� Potable water test.(6m), sampling H&S 7.3; Medical Chest Certificate
8. C/E
(12m) MLC 4.1
9. � Crew wages and Rate of exchange Master
10. � Crew Accommodation Certificate (Built under ILO C92 or C133) Master
� Master’s Weekly inspection checklist record and any defects recorded in
11. Master
defect list (TEC 31)
� Complaint handling procedures & records are available and displayed. Is
12. Master
form provided to seafarer’s as DMLC Part II (para 13.2)
� SRPS (Seafarer Recruitment and Placement Service) Certificate/ its
13. Master
equivalent is available on board for inspection
14. � Medical Oxygen cylinders – 3y content check & refilling. 5y hydrostatic test 2/O

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