Charter-Party Engagement Checklist

Nomenclature

Term	Definition
BIMCO	Baltic and International Maritime Council
DoC	Document of Compliance (ISM Code)
ISM Code	International Safety Management Code
ISPS Code	International Ship and Port Facility Security Code
ISSC	International Ship Security Certificate
P&I	Protection and Indemnity (marine insurance)
SMC	Safety Management Certificate
SOLAS	International Convention for the Safety of Life at Sea

Purpose

This checklist sets out the due diligence Westlink Logistics completes, as charterer, before fixing a time or voyage charter for the carriage of project cargo. It confirms that:

• the vessel holds a valid International Ship Security Certificate;

• Westlink has screened the vessel, its owner and operator, and the intended destination against sanctions and prohibited-export controls;

• the charter party incorporates current security and sanctions warranties;

• Westlink staff understand the operational security interface; and

• Westlink has verified the operator’s safety management system.

Scope

This checklist applies to every time or voyage charter Westlink enters into as charterer for the carriage of cargo by sea. Westlink charters vessels but does not operate them. The obligations addressed here are the charterer’s due-diligence obligations, not the vessel operator’s primary statutory duties. Westlink completes the checklist before fixing the charter and retains the supporting evidence with the charter file.

Roles and Responsibilities

Role	Responsibility	When
Chartering Officer	Completes each checklist item; records the result (Yes / No / Not applicable) and the supporting evidence; escalates any item answered No to the Operations Manager; signs the completed checklist.	Before the charter is fixed.
Operations Manager	Decides escalated and No-answered items; confirms each is resolved or accepted; approves proceeding to fixture; signs the completed checklist.	On escalation, and before the charter is fixed.
Operations Manager	Retains the completed checklist and supporting evidence with the charter file per GOV-SCH-001.	After fixture.

How to Use This Checklist

The chartering officer completes each item before the charter is fixed. The officer records the result (Yes / No / Not applicable) and the evidence relied on. The officer escalates any item answered No to the Operations Manager. Westlink must not fix a charter while a vessel security-certification, sanctions-screening or charter-warranty item is unresolved. The chartering officer and the Operations Manager sign the completed checklist and retain it with the charter file.

Section A — Vessel Security Certification

Every security-regulated ship on an international voyage must hold a valid International Ship Security Certificate (ISSC). The flag administration or a recognised security organisation issues the ISSC (SOLAS Chapter XI-2 Regulation 9 and ISPS Code Part A §19). As charterer, Westlink verifies the certificate before fixture.

Check	Result (Y/N/NA) and evidence
A valid ISSC (or Interim ISSC) is held for the vessel	Certificate number, issuer and validity dates recorded.
The ISSC is current (within its validity period) at the charter dates	Issue and expiry dates checked against the charter period.
The vessel’s flag administration / recognised security organisation is recognised	Flag State and issuing organisation recorded.
No outstanding ISSC suspension or port-State security detention is known	Port-State control / vetting record checked.

Section B — Sanctions and Trade-Control Screening

Cargo loaded at, or destined to, a sanctioned party or destination, or of prohibited-export classification, may not be shipped without the appropriate permission. Westlink screens the vessel, its owner and operator, and the intended ports of call against the DFAT Consolidated List and the relevant controls. The controls applied are:

• the Autonomous Sanctions Act 2011 and Regulations;

• the Charter of the United Nations Act 1945; and

• the Customs Act 1901 and the Prohibited Exports Regulations.

This screening is the maritime-interface application of the freight screening in OPS-PRO-001.

Check	Result (Y/N/NA) and evidence
Vessel, registered owner and operator screened against the DFAT Consolidated List	Screening record and date.
Intended ports of call / destination screened for sanctioned destinations	Voyage itinerary checked against sanctions regimes.
Cargo confirmed not to require an export permission that is unresolved	Cross-reference to OPS-PRO-001 export screening (DSGL / prohibited exports).
Any screening hit escalated and resolved before fixture	Operations Manager decision recorded.

Section C — Charter-Party Security Warranties

Time- and voyage-charter parties customarily incorporate security and sanctions warranties through standard industry clauses (for example the BIMCO ISPS/MTSA, Sanctions and Anti-Corruption clauses). The current clause wording changes over time. Westlink confirms the applicable clauses with the broker or P&I club before fixing the charter, rather than assuming them from a previous fixture.

Check	Result (Y/N/NA) and evidence
Charter party incorporates a current ISPS/maritime-security clause	Clause confirmed current with broker / P&I club.
Charter party incorporates a current sanctions clause	Clause confirmed current with broker / P&I club.
Charter party incorporates an anti-corruption clause	Clause reference recorded.
Warranties are appropriate to the trade and evidence-backed	Reviewed against the voyage and cargo; legal review where required.

Section D — Operational Security Interface

Westlink staff sometimes board a security-regulated ship or attend a security-regulated port facility, for example to supervise project-cargo loading. In that case, the staff may have to comply with the security plan of the ship or port facility. Security obligations may also flow through the charter or service contract (Maritime Transport and Offshore Facilities Security Act 2003, Part 3). Westlink confirms awareness and access-control compliance before attendance.

Check	Result (Y/N/NA) and evidence
Staff attending the vessel/facility briefed on applicable security requirements	Briefing recorded; access-control requirements identified.
Any flow-through security obligation in the charter/service contract identified	Contract clause noted.
Identification and access arrangements confirmed with the ship/port facility	Confirmation recorded.

Section E — Vessel Safety Due Diligence

As part of charter due diligence, Westlink confirms the operator maintains a certified safety management system under the ISM Code. The Navigation Act 2012 and Marine Order 44 give the ISM Code effect. This is a safety-assurance check supporting the security checks above.

Check	Result (Y/N/NA) and evidence
Operator holds a valid Document of Compliance (ISM Code)	DoC reference and validity recorded.
Vessel holds a valid Safety Management Certificate	SMC reference and validity recorded.
Vessel vetting / class status reviewed where available	Classification society and vetting record noted.

Sign-off

Before Westlink fixes the charter, the chartering officer confirms each item is complete and the evidence retained. The Operations Manager confirms that any item answered No is resolved or accepted. Both record name, position, signature or electronic authentication, and date.

Records

Westlink retains completed charter-party engagement checklists and their supporting evidence (ISSC copies, screening records, charter party). Retention follows GOV-SCH-001 Document Retention Schedule (International Freight and Customs Records — 5 years).

Applicable Standards and Legislation

This checklist operates within the framework of the following external instruments. Where a statutory provision applies, the statutory obligation prevails over any narrative description in this checklist. Penalty-unit dollar values are not stated; obligations are as set out in the cited instruments. The BIMCO charter-party clause wording is not reproduced here — the current clauses are confirmed with the broker or P&I club before use.

• SOLAS Chapter XI-2 + International Ship and Port Facility Security (ISPS) Code — Ch XI-2 Reg 9 (control and compliance — port-State verification of ships) and ISPS Code Part A §19 (International Ship Security Certificate, ISSC); Ch XI-2 Reg 10 and ISPS Part A §5 (Declaration of Security)

• Maritime Transport and Offshore Facilities Security Act 2003 (Cth) (No. 131, 2003; compilation C2026C00106) — Part 2 (maritime security levels — ss.21/22: default MARSEC 1, Secretary may declare 2 or 3), Part 3 (maritime security plans; Division 3 — complying with another participant’s plan), Part 4 (ship security plans and ISSCs for regulated Australian ships)

• BIMCO ISPS/MTSA and Sanctions charter-party clauses (industry standard charter-party forms) — security, sanctions and anti-corruption warranties incorporated into time- and voyage-charter parties — confirm the current clause wording with the broker or P&I club before use

• Autonomous Sanctions Act 2011 (Cth) (compilation C2024C00138) — s.16 (contravening a sanction law — individuals up to 10 years imprisonment / 2,500 penalty units; bodies corporate strict liability, 10,000 penalty units; s.16(7) due-diligence defence)

• Charter of the United Nations Act 1945 (Cth) (compilation C2021C00518) — s.20 (dealing with a freezable asset) and s.21 (making an asset available to a proscribed person or entity) — up to 10 years imprisonment / 2,500 penalty units (individuals); bodies corporate strict liability, 10,000 penalty units

• DFAT Consolidated List — persons and entities subject to targeted financial sanctions and travel bans (Australian Sanctions Office) — screening criterion for both the autonomous and United Nations Security Council sanctions regimes (Autonomous Sanctions Regulations reg 22)

• Customs Act 1901 (Cth) (compilation C2026C00161) — s.71A (import declaration), s.112 + Customs (Prohibited Exports) Regulations reg 13E (prohibited export of DSGL goods), s.113/114 (export entry and declaration), Div 2 valuation (ss.154/159/161), s.233/233AB/233BAB (export/import of prohibited goods — offences), s.240 (commercial documents to be kept — 5-year retention, strict liability)

• Navigation Act 2012 (Cth) — vessel safety and the ISM Code (via Marine Order 44 — Safety Management System and Document of Compliance); as charterer (not operator) Westlink’s obligations are indirect — verify the operator’s SMS certificate / DoC as charter due diligence