Company internal ISM audit

• Document No.

• Audit Title

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

• 1.1) Is there any changes of ships under management?

  YES

  NO

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

  Yes

  No

  N/A

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

  YES

  NO

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

  Yes

  No

  N/A

• 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 ?

• 3.1) 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 ?

  Yes

  No

  N/A

• 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?

  Yes

  No

  N/A

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

• 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?

  Yes

  No

  N/A

• 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 ?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

• a) Is the safety and environmental policy clearly shown ?

  Yes

  No

  N/A

• Signature of top management

• Last revision date

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• 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?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• 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 ?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• Is the timing of reporting clearly specified ?

  Yes

  No

  N/A

• Is the definition of NC clearly specified ?

  Yes

  No

  N/A

• 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 ?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

• Have investigation and analysis of NC been checked and verified ?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• 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 ?

  Yes

  No

  N/A

• 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

• 6.1) 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?

  Yes

  No

  N/A

• 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?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

7.1) Identification and response procedures for potential emergency situations

• Have emergency situations identified by the company been reviewed?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• Is "Emergency Contacts list " updated?

  Yes

  No

  N/A

• Are emergency reporting procedures clearly specified,

  Yes

  No

  N/A

• 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?

  Yes

  No

  N/A

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

• Was the emergency response team actually mobilized?

  Yes

  No

  N/A

• Was the scenario for the exercice prepared?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• Were outside organizations involved,

  Yes

  No

  N/A

• Were the exercices performed during office hours,

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

• Were onboard drills as per SOLAS requierments?

  Yes

  No

  N/A

• Is the duration of the drill reasonnable?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• 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?

  Yes

  No

  N/A

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

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

  Yes

  No

  N/A

• Are deficiencies at PSC reported to the company?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• Do reports to the company proposed corrective actions?

  Yes

  No

  N/A

• Are these reports investigated and analyzed by the company?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

• Is the year free of casualties, incidents & accident?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

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

  Yes

  No

  N/A

• Are these reports investigated and analyzed by the company?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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?

  Yes

  No

  N/A

• 9.2) Planned maintenance

• Are the planned maintenance items and their intervals in order?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• Are the planned maintenace executed properly?

  Yes

  No

  N/A

• 9.3) Support from shore

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

  Yes

  No

  N/A

• Are possible causes described in the failure reports?

  Yes

  No

  N/A

• Are appropriate corrective actions for the failure reports taken?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• 9.4) Critical equipments and systems

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• Are the obsolete documents removed as per procedures?

  Yes

  No

  N/A

• 10.2) management of legal/statutory book and publications

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

  Yes

  No

  N/A

• Is confirmation of updated revisions executed as per procedures?

  Yes

  No

  N/A

• 10.3) Management of official letters and correspondances

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• 10.4) Ships documentation

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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?

  Yes

  No

  N/A

• Are the copies of Masters & officers CoC avaliable?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• 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?

  Yes

  No

  N/A

• 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?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• Are the valid documents availiable at the relevant locations?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• Auditor signature

  Sign

• DPA signature

  Sign

• Manager of management department signature

  Sign