1) ITEMS TO BE CHECKED PRIOR TO AUDIT

1.1) Is there any changes of ships under management?

1.1.1) Are the delegation letters as per ISM 3.1 uploaded in MMV?

1.2) Is there any changes in flags covered by the DOC?

2) INTERVIEW WITH TOP MANAGEMENT

2.1)Have you noticed any benefits since your company has introduced its SMS?

2.2) what opinion do you have regarding SMS activities of all personnel involved ?

2.3) What matters has DPA reported to you recently regarding ISM ?

2.4) How do you think about key points of management review ?

3) RESPONSABILITY OF DPA

3.1) Is DPA monitoring the safety and pollution prevention aspects of the operations of each ship and ensuring that adequate resources and shore based support are given as needed ?

3.2) How often do you or nominated personnel on your behalf visit your ships?

3.3) Can all masters identify David PEANO as DPA and as the person in charge of SMS?

3.4) What matters did the DPA report to the top management recently?

4) SYSTEM REVIEW

4.1) Is the company periodically evaluating the effectiveness of SMS and, when needed, reviewing the SMS inn accordance with procedures established by the company?

4.2) Can you confirm if proper revisions on the SMS policy, manuals and procedures, since the last audit have been made, on the basis of company's explanations with reasons on the revised parts ?

4.2.1) Have the revisions of the mandatory rules such as IMO conventions been taken into SMS?

4.2.2) Are the revisions approved by responsible person, according to the procedures?

4.3) Following items, as functional requirements of SMS, shall be verified:

a) Is the safety and environmental policy clearly shown ?

Signature of top management

Last revision date

b) Are the objectives of SMS clearly stated in the SMS?

C) Are there procedures for risk assessment in the vessel?

For shipboard operations? ( including use of tenders and water toys)

For emergency preparedness ?

For maintenance of the ship equipment ?

Who have the responsibility to the implementation of risk assessment?

Are identified risks to ships, personnel and the environment assessed and reviewed at the meeting?

Are there any safeguards newly established on the results of the management review ?

Are the procedures of reviewing SMS by the master and reporting its deficiencies to the shore- based management stated in the SMS ? If yes is timing of reporting clearly specified ?

Are the procedures of reporting accidents and NC to the SMS stated in the SMS ?

Is the timing of reporting clearly specified ?

Is the definition of NC clearly specified ?

4.4) Following items shall be verified on the basis of records of system review:

Are system review meetings held by the company at least once a year ?

Are necessities of revisions of the SMS discussed at the meeting ?

Are the results of system reviews brought to all departments and ships ?

Are performances and appraisals of manning agencies and training needs for seafarers discussed at the meeting ?

Are detentions and deficiencies by PSC and NC / OBS at internal/external audits discussed at the meeting ?

Are the results of Master's SMS reviews and reported deficiencies/failure reports discussed at the meeting ?

Are countermeasures and revisions of SMS if necessary, for accidents, casualties and sickness occurred on managed ships discussed during the meeting ?

4.5) Non conformities raised at past external/internal audit :

Have investigation and analysis of NC been checked and verified ?

Have investigation and analysis of PSC/Class/Flag survey or audit reports been checked and verified ?

5) INTERNAL AUDIT

5.1) Is the company carrying out internal safety audit to verify whether safety and pollution prevention activities comply with SMS ?

Are internal audits for all departments and ships planed at intervals not exceeding twelve months ?

Are procedures and criteria to extend internal audit within the three months under exceptional circumstances established in SMS ?

Are internal audits conducted within twelve months from previous date of audit ?

Are extension of internal audits conducted as per SMS Manual/Procedures ?

5.2) Are internal audits carried out as per SMS manual/procedures ? ( to be assessed by following question)

Are corrective action requests, corrective action for NC's and verification of its effectiveness carried out in order?

Are results of internal audits reported to top management as per procedures ?

Are results of internal audit brought to all departments and ships ?

5.3) Have the following items for company side been verified ?

State of records prepared by office and records from ships.

State of management of controlled documents and legal/statutory publications.

Response to incident/failure reports from masters of ships.

Sea men's certificates monitoring and control.

Pre-joining forms and training when needed.

Have the following items for shipboard internal audit been verified ?

Official log book entry.

Motivation of crew members for company's SMS by master.

Placards to be posted up, such as Master standing orders and so on.

Verification by Master on passage plan and charts correction.

Master's review on the SMS, master monthly report.

Master's awareness on SMS.

Familiarisation training & essential instructions for newly joined crew.

Crew members' awareness on SMS.

Deck & engine logo book as per manual and procedures.

Garbage and oil record books.

Drills, training & instruction onboard

Launching records for life/rescue boats

Detentions/deficiencies by OSC and NC/OBS by external audits.

Progress monitoring & reporting of PMS.

corrections & preventive measures to trouble/failure reports

Management of controlled documents and legal books & publications

6) SHIPBOARD OPERATION, SPECIFIC ITEMS FOR SHIP & FLAG STATES

6.1) Are plans and instructions, including checklist as appropriate, for key shipboard operations concerning the safety of the ship and the prevention of pollution established and maintained?

Enter/leaving port

Passage planning

Watch (at sea/ at anchorage)

Charts and nautical documentation correction.

Dangerous work

Pollution prevention (garbage, oily water, sewage, bunker....)

6.2) Supporting shipboard operation

Confirm how to supply notice to mariners and charts.

What kind of official letters are used to provide the ships with necessary information?

Has any master ever made use of his overriding authority actually?

Are the rules and circulars of every flag available in the office and onboard each ship?

7) EMERGENCY PREPAREDNESS

7) Has the compagny identified and described the potential emergency shipboard situations and established procedures to respond to them?

Are programmes for drills and exercices to prepare for emergency actions established?

Can the company's organisation respond at any time for them?

7.1) Identification and response procedures for potential emergency situations

Have emergency situations identified by the company been reviewed?

Is the plan for yearly joint exercices and shipboard drills prepared?

Is "Emergency Contacts list " updated?

Are emergency reporting procedures clearly specified,

How emergency response team been dealt with in case of prolonged situation?

Are the doucments needed (stability booklet, safety plan, tank plan....) in case of emergency situation available in office for each ship?

7.2) Verification on joint exercices on the basis of exercice reports/records

Was the emergency response team actually mobilized?

Was the scenario for the exercice prepared?

Are the last exercice's evaluation reflected in the recent exercice?

Were ship's drawings, nautical charts, exclusive phone, etc actually prepared?

Were outside organizations involved,

Were the exercices performed during office hours,

Were the results of exercice evaluated by company & the master?

Are any points to be improved in emergency repond procedures found?

Were all activities of exercice, from beginning to closing out recorded?

7.3) Verification of onboard drills and training on the basis of their reports/records

Were onboard drills as per SOLAS requierments?

Is the duration of the drill reasonnable?

were the results of drills and training evaluated by the master?

8) NON-CONFORMITIES, DEFICIENCIES, ACCIDENTS & HAZARDOUS OCCURENCES

8) Does company ensure that non-conformities, accidents and hazardous situations are reported to the company, investigated and analysed with the objective on improving safety and pollution prevention, and necessary corrective actions taken?

8.1) Reeporting of Non-conformities and measures to address them?

Are definition of non-conformities 5deficiency° clearly specified in the SMS?

Are deficiencies at PSC reported to the company?

Are NCs and OBSs raised at external audits reported to the company?

Are incompetent crew and claim from outside party reported to the company?

Is there no lack of PSC records kept by the company?

Do reports to the company proposed corrective actions?

Are these reports investigated and analyzed by the company?

If any have these incident, accident & casualties been reported to flag authorities as per flag rules?

Have these matters, toghether with preventive measures, been been brought to the attention of other ships concerned,

8.2) Reporting of Casualties, Accidents & Incidents and measures to address them.

Is the year free of casualties, incidents & accident?

If any have these incident, accident & cassualties been reported to the company?

If any have these incident, accident & casualties been reported to flag authorities as per flag rules?

8.3) Reporting of Hazardous occurences (near miss) and measures to adress them.

Are hazardous occurences (near miss) reported to the company?

Are these reports investigated and analyzed by the company?

Have these matters, toghether with preventive measures, been been brought to the attention of other ships concerned,

9) MAINTENANCE

9) Does the company ensure that the ship is maintened in conformity with the provisions of the relevant rules and regulations and with any additionnal requierments, which may be established by the company?

9.1) Confirmation of certificates & survey records

Are the validity of certificates and survey arrangements properly managed?

9.2) Planned maintenance

Are the planned maintenance items and their intervals in order?

Are the planned maintenace intervals monitored and recorded by the company?

Are the planned maintenace executed properly?

9.3) Support from shore

Is the person in charge responding to failure reports from ship immediatly?

Are possible causes described in the failure reports?

Are appropriate corrective actions for the failure reports taken?

Are neccesary information such as revisions of convention and technical notices from makers provided to ships under technichal management?

9.4) Critical equipments and systems

Are specific measures aimed at promoting reliability of critical equipment and system provided?

Are the regular testing of stand by arrangements and equipment or systems that are not in continuous use included?

10) DOCUMENTATION

10) Has the company established and maintained procedures to control all documents and data which are relevant to SMS?

10.1) Mnagemenet of controlled documents

Are the revisions of manuals & procedures executed as per procedures?

Are the distribution of revised manuals & procedures executed as per procedures?

Are the obsolete documents removed as per procedures?

10.2) management of legal/statutory book and publications

Is the list of publication to be placed in office and on board availiable?

Is confirmation of updated revisions executed as per procedures?

10.3) Management of official letters and correspondances

Are the official letters and correspondances of the company controlled properly as per procedures?

Are the official letters and correspondances from ouside of the company controlled properly as per procedures?

10.4) Ships documentation

Are up to date as built construction drawings availiable in the office fro every managed ships?

Are up to date technical drawings, maker notice and technical data availiable in the office for every techicaly managed vessels?

11) MANNING

11) Does the company ensure that each ship is manned with qualified, certificated and medically fit seafarers in accordance with national and international requierments, and necessary education and training are provided to all personnel concerned?

11.1) Certificates & Medical fitness

Is a copy of minimum safe manning certificate of every ship available?

Are the copies of Masters & officers CoC avaliable?

Are the copies of rating CoP as required by STCW availiable?

How has the person in charge checked the authenticity of certificates?

Are the personnel data including medical fitness certificates of all crew in service availiable?

11.2) Assignement & evaluation of Masters

Who is responsible for assigning the Master and what is the procedure for such assignement?

Who is responsible for assessing master's familiarity with SMS and what is the procedure for such assessment?

Who is reponsible to appraise the master's abilities and performances and what is the procedures for such appraisal?

11.3) Appraisal and training of seafarer

Are familiarization training for newly joined crew executed properly?

Are refresh training or additionnal training riquired by new rules executed properly?

Are procedures to prevent re-employment of incompetent crew established?

12) TOUR THROUGH THE OFFICE

Are the valid documents availiable at the relevant locations?

Are the copies of all valid ship trading / statutory / class certificates maintened properly and availiable?

Are required legal/statutory books & publications, circulars and finished plans ( including instruction books) maintained properly?

Are the ships maintenance records kept properly (including docking repairs records & next docking items to be repaired) ?

Auditor signature
DPA signature
Manager of management department signature
Please note that this checklist is a hypothetical example and provides basic information only. It is not intended to take the place of, among other things, workplace, health and safety advice; medical advice, diagnosis, or treatment; or other applicable laws. You should also seek your own professional advice to determine if the use of such checklist is permissible in your workplace or jurisdiction.