Checklist for Shipboard Audit

Record No.

Retention period of this record Name of Ship is five years

Name of Company

Type & Date of Audit

Date of SMS initiation onboard the ship

Place of Audit

Name of Auditor(s)

Type of Ship

Purpose of Ship (in case of Other Cargo Ship)

DOC Number

DOC issued by

During the audit, the auditors are requested to verify following items. Is the copy of valid DOC (Interim DOC can not be accepted) placed onboard the ship?

Are there any objective evidences showing effective functioning of SMS onboard the ship for a period of at least 3 months? (for Initial Audit only)

NOTE: ISClass assumes no responsibility and shall not be liable for any loss, damage directly or indirectly caused by the report in this document. No Level 1 items to be checked Result Remark Level 2 Yes No N/A If Result is No, details are to be Level 3 specified in the Remark

CHK-SHIP Page 2 No Level 1 items to be checked Result Remark Level 2 Yes No N/A If Result is No, details are to be Level 3 specified in the Remark

1. Shipboard Tour ISM Code No. 1.1 Bridge If Yes, go to 10.11 1.1.1 Are there any inoperable nautical instrument or radio equipment? 10 up to 10.15 1.1.2 Are updated versions of nautical publications available? 1.2.3.1/11.2.1 1.1.3 Are maritime safety information from NAVTEX or EGC checked regularly? 1.2.3.1 / 7 1.1.4 Are nautical charts and Notice to Mariners controlled properly? 1.2.3.1 / 7 1.1.5 Are standing order or night order issued regularly by the master? 5.1.3 1.2 Accommodation Space If Yes, go to 10.11 1.2.1 Are there any crew accommodations left unattended with their function unserviceable? up to 10.15 10 1.2.2 Are updated versions of Muster lists available? (Bridge: Engine Room: Accommodation: ) 1.2.3.1 / 8.1 1.2.3 Is SOLAS training manual provided? 1.2.3.1 / 8.2 1.2.4 Are ship's drawings and instruction books controlled properly? 11.2.1 1.2.5 Is posted placard for garbage disposal written in language understood by crew? 1.2.3.1 / 6.6 1.2.6 Is watch schedule for watchkeeper posted? 1.2.3.1 / 7 1.2.7 Is sick bay ready for emergency use? 1.2.3.1 / 8.1 1.2.8 Are medicaments properly controlled? 1.2.3.1 / 8.1 1.3 On deck 1.3.1 Are closing appliances, L.S.A. and F.F.A maintained properly? If Yes, go to 10.11 1.3.2 Are there any damaged equipment or hull part being left unattended? 1.2.3.1 up to 10.15 10 If Yes, go to 10.11 1.3.3 Are there any part which are temporarily repaired? up to 10.15 1.4 Engine room / Steering room If Yes, go to 10.11 1.4.1 Are there any machinery left unattended with their function inoperable? up to 10.15 10 1.4.2 Is evacuation route secured? 1.2.3.1/8.1 1.4.3 Is operating instruction of steering changeover posted? 1.2.3.1/7 1.5 Interview with ratings during tour through 1.5.1 Interview with the rating for, (Deck: Engine: Catering: ) - - - - 1.5.2 When did he join? (Deck: Engine: Catering: ) - - - - 1.5.3 Did he undergo familiarization training just after joining?(Deck: Engine: Catering: ) 1.2.3.1 / 6.3 1.5.4 Was essential instruction prior to sailing given to him?(Deck: Engine: Catering: ) 6.3 1.5.5 When did he last participate in an abandon ship drill?( Deck: Engine: Catering: ) - - - Refer 8.7 - CHK-SHIP Page 3 NOTE: ISClass assumes no responsibility and shall not be liable for any loss, damage directly or indirectly caused by the report in this document. No Level 1 items to be checked Result Remark Level 2 Yes No N/A If Result is No, details are to be Level 3 specified in the Remark 1.5.6 Does he know his assigned duties in an emergency( Deck: Engine: Catering: ) 1.2.3.1

1.5.7 Has he received instructions on how to use fireman outfit or breathing apparatus? ( Deck: Engine: Catering: ) 5.1.1 / 8.2 1.5.8 Does he understand what signal is given in the event of emergency? ( Deck: Engine: Catering: ) 8.1 / 8.2 1.6 Interview with the Master Statutory certificates and survey records 1.6.1 Are the effective statutory certificates and survey records available on board the ship? 1.2.3.1 10.1 / 11.1 1.6.2 Is validity of statutory certificates informed to the company as per the procedures? Classification certificates and records 1.6.3 Is Classification Certificate properly endorsed? 1.2.3.1 1.6.4 Are classification survey records maintained properly? Crew list 1.6.5 Number and Nationality of licensed officer? (Number Nationalities： ) - - - - 1.6.6 Number and Nationality of ratings? (Number: Nationalities: ) - - - - Certificates for crew members 1.6.7 Is the ship manned in compliance with the safe manning document? 1.6.8 Does each Master or Officer hold an Appropriate Certificate or a Dispensation in accordance with STCW95? 1.6.9 In case a ship is of a Country other than the Party who issued the Certificate, does each Master or Officer hold, in addition to the above (1.6.8), an Endorsement attesting the Recognition or a Dispensation issued by flag state, or a Documentary proof that application for an endorsement has been submitted to the Administration? 6.2 1.6.1 Are original copies of Master’s or Officer’s Certificates and Endorsements kept on board the ship? 0 1.6.1 Are ratings forming part of navigational or engine-room watch duly certificated? 1 1.6.1 Do Master, Officers and any person with responsibility for loading, discharging and care in transit or handling cargo 2 serving on tanker (oil/gas/chemical) hold Appropriate Certificates? 1.6.1 Are all ratings assigned to specific duties and responsibilities related to cargo or cargo equipment on tanker (oil/gas/ 3 chemical) duly certificated? Log book entry 1.6.1 Are necessary items entered as per SOLAS requirements? 1.2.3.1 / 5.1.4 / 8.2 1.6.14 Are necessary items entered as per the SMS? 5.1.4 / 7 / 8.2 5 Oil Record Book & Garbage Record Book 1.6.1 Are necessary entries made to Oil Record Book? 1.2.3.1 1.6.16 Are necessary entries made to Garbage Record Book? 5.1.4 7 Providing information to master 1.6.1 Is an adequate information on safety and pollution prevention given to master by the company? 4 / 6.1.3 / 6.4 8 Flag State requirements CHK-SHIP Page 4 No Level 1 items to be checked Result Remark Level 2 Yes No N/A If Result is No, details are to be Level 3 specified in the Remark 1.6.1 Does the ship comply with the flag state requirements? 1.2.3.1 9 3. Company responsibilities ISM Code No. 3.1 Is there any evidence showing that the ship is managed by the company which is indicated on the DOC? 13.1 4. Designated Person 4.1 Is Master familiar with the requirements of the company's SMS relating to Section 4 of the ISM Code, referring to Manual/Procedures? 6.1.2 4.2 Is DPA known by master and key personnel? 4 / 6.1.2 4.3 Is the role of DPA known by key personnel? 6.5 5. Master's responsibilities and authority 5.1 Is Master familiar with the requirements of the company's SMS relating to Section 5 of the ISM Code, referring to Manual/Procedures? 6.1.2 5.2 How did master motivate the crew in the observation of the Company policy? → → → 5.1.2 5.3 How did master issue appropriate orders and instructions in a clear and simple manner? → → → 5.1.3 5.4 How did master verify that specified requirements have been observed? → → → 5.1.4 5.5 Has master reviewed the SMS and reported its deficiencies to the company? 5.1.5 5.6 Is master aware of the overriding authority ensured under the ISM Code? 6.1.2 / 6.4 5.7 Is master aware of the authority to request the company's assistance as may be necessary? 6.1.3 / 6.4 5.8 Has master exercised the overriding authority? 5.1.1 6. Resources and Personnel 6.1 Is Master familiar with the requirements of the company's SMS relating to Section 6 of the ISM Code, referring to Manual/Procedures? 6.1.2 6.2 Have all crew members received pre-joining training as per the procedures? 6.1.2 / 6.5 6.3 Have on-board trainings and instructions been conducted as per the procedures? 5.1.1 6.5 6.4 Have newly joined crew members received the familiarization training required by the STCW? 1.2.3.1 6.5 Have newly joined crew members received the familiarization training required by the SOLAS within 2 weeks after joining? 5.1.1 / 6.3 6.6 Have on-board trainings and instructions required by the SOLAS conducted regularly? 1.2.3.1 / 5.1.1 6.7 What is the on-board common language specified by the company? - - - ( ) 6.8 Are SMS related documents given in a language understood by ship's crew? 6.9 Are all crew able to read and understand the SMS manual? If No, go to 6.10 6.6 6.10 Has the company established any plan to cope with the case where crew are unable to read and understand the manual? 6.11 Are crews able to communicate effectively in the execution of their duties? 6.7 6.12 Is master's SMS awareness on an acceptable level? (to be judged at the end of audit) 4 / 6.1.2 / 6.5 7. Key shipboard operations 7.1 Is Master familiar with the requirements of the company's SMS relating to Section 7 of the ISM Code, referring to Manual/Procedures? 6.1.2 7.2 Have operations during departure been performed as per the procedures? 4 7.3 Have navigational operations been performed as per the procedures? 5.1.1 7.4 Have arrival operations been performed as per the procedures? 5.1.4 * Does the safety management system include navigation procedure? 7 * Is there a documented procedure to ensure fully corrected charts are in place for the forthcoming voyage? 12.1

CHK-SHIP Page 5 No Level 1 items to be checked Result Remark Level 2 Yes No N/A If Result is No, details are to be Level 3 specified in the Remark * Does the SMS provide any provision for the master to conduct navigational audits to ensure officers comply with procedures? * Is chart supply contracted with a recognized chart agent? * Are there procedures to ensure effective bridge team mamagement? 7.5 What kind of cargo does the ship load? - - ( ) Refer to Additional 7.6 Have cargo handling operations been performed as per the procedures? Check Items 7.7 Have pollution prevention operations been performed as per the procedures? 7.8 Have special operations identified been performed as per the procedures? 7 8. Emergency preparedness ISM Code No. 8.1 Is Master familiar with the requirements of the company's SMS relating to Section 8 of the ISM Code, referring to Manual/Procedures? 6.1.2 8.2 Has the company provided the ship with updated emergency contact list? 8.1 / 8.3 8.3 Is master familiar with the procedures to respond emergency situation identified? 6.1.2 / 6.5 / 8.1 / 8.2 8.4 Have drills and exercise for the emergency situations identified been conducted as per the procedures? 1.2.3.1 / 5.1.1 / 5.1.4 / 8.2 8.5 Is radio personnel aware of how to transmit distress alert under GMDSS? 8.1 / 8.2 8.6 Is SOPEP available onboard the ship? 1.2.3.1 8.7 Have mandatory drills been conducted regularly? 1.2.3.1 / 8.1 / 8.2 8.8 (Has the ship encountered a sea casualty and/or serious human injury since the last periodical audit?) If Yes, go to 8.9 up to 8.11 6.1.3 8.1 8.9 Has the company given the master necessary support as per the procedures? 8.10 Have the responses and actions been taken by ship as per the procedures? 9.1 12.2 8.11 Has the SMS been reviewed based on a results of investigation? * Ship-based and shore-based contingency plans clearly identify roles, responsibilities and record-keeping procedures. * Emergency procedures include effective calling systems and communication links for alerting the emergency-response team. * Are there documented procedures describing shore-based and shipboard contingency plans ? * The company provides adequate emergency-response facilities. * Individuals are trained in their designated emergency-response roles. * Does the company have a system to provide a 24-hour damage-stability and structural-integrity assessment service. * Lessons learnt from exercises and real incidents are taken into account when updating the emergency-response plans. * Are stand-ins are included in the planned exercises and drills? * Ares Stand-ins identified and trained for key positions in the response team?. * Has the company made all the necessary arrangements to use external resources in an emergency?. * Outside or additional resources are used to provide more realistic drills and exercises. 9. Deficiency control 9.1 Is Master familiar with the requirements of the company's SMS relating to Section 9 of the ISM Code, referring to Manual/Procedures? 6.1.2 9.2 Were there any reports on NC, accident and hazardous occurrence which were sent ashore? If Yes, go to 9.5 up 12.2 9.3 Have the ship been controlled (regardless of detention or not) by PSC since the last audit?

CHK-SHIP Page 6 No Level 1 items to be checked Result Remark Level 2 Yes No N/A If Result is No, details are to be Level 3 specified in the Remark 9.4 Have any deficiencies identified at inspections by the third parties, such as charterers, P & I club and etc, since the to 9.7 last audit? 9.5 Have all NCs, accidents and hazardous occurrences which are to be reported, been sent ashore? 5.1.1 / 5.1.4 / 9.1 9.6 Has the company responded to reported deficiencies? 4 / 9.1 9.7 Have corrective actions to reported deficiencies been taken? 9.2 10. Maintenance 10.1 Is Master familiar with the requirements of the company's SMS relating to Section 10 of the ISM Code, referring to Manual/Procedures? 6.1.2 10.2 Has maintenance for ship and equipment been carried out as per the plan established? 5.1.5 / 10.1 10.3 Have maintenance works performed been properly recorded? 10.2.4 10.4 Have specific measures for critical equipment/technical system identified been taken as per the procedures? 10.3 10.5 Have weekly tests and inspections for LSA been carried out? 1.2.3.1 10.6 Have monthly inspections for LSA been carried out using the checklist? 10.7 Have inspections been recorded properly? 10.2.4 If Yes, go to 10.9 10.8 Is there any technical deficiency report which has been sent ashore? 9.1 up to 10.10 9.2 10.9 Has the company responded to reported deficiency? 10.2.2 10.10 Have corrective actions to reported deficiency been taken? 10.2.3 If Yes, go to 10.12 10.11 Have deficiencies found during shipboard tour been identified by any of the crew members already? up to 10.15 - 10.12 Have these deficiencies been reported ashore? 5.1.1/ 5.1.4 / 10.1.2 10.13 Has the company made any response to the reported deficiencies? 4 / 10.1.2 10.14 Are these defective items being involved in the ship's maintenance plan established? 5.1.1 / 5.1.4 / 10.1 / 10.15 What was the result of the last ship's regular inspection for these defective items? 5.1.1 / 5.1.4 / 10.1 11. Document control ISM Code No. 11.1 Is Master familiar with the requirements of the company’s SMS relating to Section 11 of the ISM Code, referring to Manual/Procedures? 6.1.2 11.2 Are ship’s SMS manuals an updated version? Rev. status: 11.2.1 11.3 Have revisions of the SMS manuals been properly recorded? 11.2.2 11.4 Have obsolete documents been properly removed? 11.2.3 11.5 Are the SMS manuals available at all relevant locations? 11.2.1 11.6 Are modification to the SMS manual being made in compliance with requirements of the ISM Code and applicable 1.2.3.1 rules and regulations? 11.7 Have company’s circular letters or information been filed properly and easily identified? 11.1 11.8 Have publications to be provided under the SMS/Flag states been updated? 1.2.3.1 / 11.2.1 12. Internal audit and System review 12.1 Is Master familiar with the requirements of the company’s SMS relating to Section 12 of the ISM Code, referring to Manual/Procedures? 6.1.2 12.2 When has the last internal audit been conducted? - - ( ^ ) 12.1 12.3 Has internal audit been conducted as per the procedures? 12.3 12.4 Have internal audit records been kept onboard the ship? 12.5 12.5 Have ship’s key staffs been aware of the result of the internal audit? CHK-SHIP Page 7 No Level 1 items to be checked Result Remark Level 2 Yes No N/A If Result is No, details are to be Level 3 specified in the Remark 12.6 Have non-conformities been raised at the audit? 12.6 12.7 Have corrective actions for the non-conformities identified during the internal audit been taken? 12.8 Has the company notified the ship of the result of management review? 12.5 Additional check item by ship types A. Oil Tanker A-1 Has instrument for measuring flammable gas concentration been properly calibrated? (Convention requires to provide SOLAS II-2, Reg.59/5 instruments for calibration) A-2 Has COW plans been prepared for each dischargeing and has the plan been followed and properly recorded? MARPOL I, Reg.13B (Refer to 7.6 or 7.8) A-3 Is ODM manual available onboard the ship? (Check also that ODM manual is of language, which the cargo MARPOL I, Reg.15 (3) (c) handling crew can read.) A-4 Is IGS instruction manual available onboard the ship? (Check also that IGS manual is of language, which the SOLAS II-2, Reg.62/21 responsible crew can read.) B. Gas Carrier B-1 Have portable and fixed gas concentration measurement instruments been properly calibrated? (IGS Code requires that IGC Code 13.6.6 calibration instruments should be provided.) B-2 Have emergency response drills specified in the operation manual been conducted regularly? (Some companies do not incorporate this Drill into the SMS.) B-3 Is operation manual available onboard the ship? (Manual approved by an IACS Society?) B-4 Is approved P&A manual available onboard the ship? (Confirm if P & A manual is required for the ship. And also IBC Code 16A confirm Manual approved by NK or an IACS Society?) B-5 Are the current cargo categories loaded accepted for carriage? (Check if current cargo is listed on the GAS Fitness IGC Code 18.2 Certificate. If not indicated on the Certificate, MNC should be raised.) C. Chemical Tanker C-1 Have emergency response drills specified in the operation manual been conducted regularly? (Some companies do not incorporate this Drill into the SMS.) C-2 Has Cargo Tank Cleaning been performed as per the procedures? (In view of possible serious casualty that may be - caused by inadequate preparation of operation manual, the procedures described therein should be verified with great care. For example, cargo tanks may be cleaned by sea/fresh water, or with/without detergent, and by other process. And the operation manual should indicate practical procedure most suitable for the intended cargo. Also the handling procedure of residue and wash water after cleaning, carried out as per P & A manual, should be documented. If adequate procedure is not available, OBS related to ISM Code 7 should be raised and ask the company to establish relevant procedures. C-3 Is operation manual available onboard the ship? (Manual approved by an IACS Society?) NK Rules Part S 16.1 C-4 Is approved P&A manual available onboard the ship? (Manual approved by IACS Society?) IBC Code 16A C-5 Have the personnel training required by IBC Code 16.3 been conducted? IBC Code 16.3

CHK-SHIP Page 8 No Level 1 items to be checked Result Remark Level 2 Yes No N/A If Result is No, details are to be Level 3 specified in the Remark Auditor should verify if ship’s personnel have been trained as per required by IBC Code 16.3 as shown below. When training/education have not been given, NC or OBS may be raised relating to ISM Code 1.2.3.1 or 6.5. 16.3.1 All personnel should be adequately trained in the use of protective equipment and have basic training in the procedures appropriate to their duties necessary under emergency conditions. 16.3.2 Personnel involved in cargo operations should be adequately trained in handling procedures. 16.3.3 Officers should be trained in emergency procedures to deal with conditions of leakage, spillage or fire involving the cargo, and trained in essential first aid of cargoes carried. C-6 Are the current cargo categories loaded accepted for carriage? (Check if current cargo is listed on Chemical IBC Code 1.5.4 Fitness Certificate. If not indicated on the Certificate, MNC should be raised.) C-7 Have cargo record books been maintained properly? (There is a dangerous cargo, which does not affect sea MAPOL Annex II, Appendix IV pollution. In this case, this check does not apply.) C-8 Have antidotes for the cargo been available onboard the ship? (Validity of antidotes should also be checked.) IBC Code 14.2.9 D. Bulk carrier D-1 Has the company established procedures for handling cargo which may liquefy? SOLAS VI Reg.7 Typical example of cargo, which may liquefy, is nickel concentrate. Hazardous nature of the same is well known. When ship is not provided with loading instructions of this cargo from the Company, NC or OBS may be raised relating to the ISM Code 7. D-2 If the ship is bulk carrier not being capable of complying with damage stability requirements under the regulation SOLAS XII Reg.9 XII/4.2 of the SOLAS, have emergency response drills been conducted as per specific hold flooding scenarios regularly? When the ship is 150m in length or above, has 4 holds, and 15years of age or older, ask the Master if this Check is applicable to the ship. NK notifies this requirement to the Company 3 years in advance of applicable date to each ship. D-3 Is a booklet which enable the master to prevent excessive stress in the ship's structure available onboard? SOLAS VI Reg.7 This Check is applicable for a ship loading cargo other than grain. If the booklet is written in a language other than English, an English version is to be provided. D-4 Is loading computer working? (Applicable for a ship of 150m in length or above) SOLAS XII Reg.11 D-5 When the ship carries grain, is a document of authorization as required by the International Grain Code available SOLAS VI Reg.9 onboard the ship? Grain includes wheat, maize/corn, oats, rye, barley, rice, pulses, seeds and processed forms thereof whose behavior is similar to that of grain in its natural state. D-6 Is damage control plan available onboard the ship? SOLAS II-1, Reg.23-1/1 The damage control plan shall be permanently exhibited or readily available on the navigation bridge. Applies to ships constructed on or after 1 Feb. 1992 E. Other Cargo Ship E-1 Has the company provided master with sufficient information on the cargo? SOLAS VI, Reg.2 Check if cargo information is given to the master, especially when the ship is to carry different type of cargo other than familiar with the master. When appropriate information is not given NC or OBS may be raised related to the ISM Code 4 and 6.1.3. E-2 Is approved cargo securing manual available onboard the ship? SOLAS VI, Reg.5 (Manual approved by NK or an IACS Society? Be advised that there are ships for which cargo securing manuals are not required, depending on the nature of cargo and so on.) E-3 When the ship carry dangerous goods, is a special list or manifest setting forth the dangerous goods on board and SOLAS VII, Reg.5 the location thereof available on board the ship? CHK-SHIP Page 9 No Level 1 items to be checked Result Remark Level 2 Yes No N/A If Result is No, details are to be Level 3 specified in the Remark Dangerous goods may be carried in packed form or in solid form in bulk, and shall be divided into the following classes. Class 1 – Explosives Class 6.1 – Toxic substances Class 2 – Gases: compressed, liquified or dissolved under pressure Class 6.2 – Infectious substances Class 3 – Flammable liquids Class 7 – Radioactive materials Class 4.1 – Flammable solids Class 8 – Corrosives Class 4.2 – Substances liable to spontaneous combustion Class 9 – Miscellaneous dangerous substances and articles, i.e. any other Class 4.3 – Substances which, in contact with water, emit flammable gases substances which experience has shown, or may show, to be of Class 5.1 – Oxidizing substances such a dangerous character that the provisions of this part shall Class 5.2 – Organic peroxides apply to it. A detailed stowage plan, which identifies by class and sets out the location of all dangerous goods on board, may be used in place of such a special list or manifest. E-4 Is damage control plan available onboard the ship? SOLAS II-1, Reg.23-1/1 The damage control plan shall be permanently exhibited or readily available on the navigation bridge. Applies to ships constructed on or after 1 Feb. 1992 E-5 When the ship carries grain, is a document of authorization as required by the International Grain Code available SOLAS VI Reg.9 onboard the ship? Grain includes wheat, maize/corn, oats, rye, barley, rice, pulses, seeds and processed forms thereof whose behavior is similar to that of grain in its natural state.

F Continual Improvement Has the company established any objectives and targets covering short and long term issues? Has the company established any programmes to help them achieve their targets and objectives? Has the company consolidate information on new legislation that will have an impact on their operation? Such as MARPOL Annex VI? Are resources available to handle the in-coming legislation? Are there procedures to handle any management of change? ( including training and seminar ) Has the Company established any structured risk assessment methodology to identify hazards? Has the company consider improvement through other certification process such as ISO 14001 and OHSAS 18001?

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