Company internal ISM audit

• Document No.

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

Changes to Documents of Compliance held by the company and assignment of responsibility to CNI

• Have any vessels joined management since last internal audit?

  YES

  NO

• Are delegation letters from owners assigning CNI responsibility under ISM 3.1 for each vessel available?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Have any flag DOC certificates been added/deleted since last internal audit?

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

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

  Yes

  No

  N/A

  Observation

  Non Conformity

• Are the obsolete documents removed as per procedures?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Documentation maintained up to date (access to latest versions of IMO Publications, LR Rule finder etc.)?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Are the valid documents available at the relevant locations?

  Yes

  No

  N/A

  Observation

  Non Conformity

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

  Yes

  No

  N/A

  Observation

  Non Conformity

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

  Yes

  No

  N/A

  Observation

  Non Conformity

• Your View regarding the safety management & compliance activities & personnel involved ?

• What matters has DPA reported to you recently regarding ISM ?

• How do you think about the monthly safety meeting & management review?

• What new areas have been implemented in SMS in the past year?

• Has the company evaluated the effectiveness of the SMS at least annually?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Have revisions to the SMS policies, manuals and procedures, since the last audit have been made?

• Have the revisions to the mandatory rules such as IMO conventions been included in the SMS?

• Are the revisions to the SMS made according to stated procedure?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Are the objectives of SMS clearly stated?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Are identified risks to ships, personnel and the environment assessed and reviewed during the annual review?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Are there any new safeguards established as a result of the annual review?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Are annual reviews of the SMS by masters recommending improvements to the SMS included in the meeting?

• Are revisions of the SMS discussed at the meeting?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Are the results of the review implemented into the SMS?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Are detentions and deficiencies from PSC and internal/external audits discussed at the meeting?

  Yes

  No

  N/A

  Observation

  Non Conformity

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

  Yes

  No

  N/A

  Observation

  Non Conformity

• Are accidents, casualties and sickness occurring on managed vessel reviewed during the meeting?

  Yes

  No

  N/A

  Observation

  Non Conformity

• New YMD staff - have required training & familarisation process has been completed?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Is the company following internal safety audit schedule to verify safety and pollution prevention onboard comply with SMS ?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Are internal audits vessels carried out at intervals not exceeding twelve months ?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Are procedures and criteria to extend internal audit beyond 12 months or allow remote audit followed ?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Are internal audits carried out as per SMS manual/procedures ?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Have non conformities and observations raised during last internal & external audits closed correctly?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Has corrective action been effective?

  Yes

  No

  N/A

  Observation

  Non Conformity

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

• Are deficiencies from Port State Control inspections reported to the company?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Are non-conformities & observations raised during external audits onboard vessels reported to the company?

  Yes

  No

  N/A

  Observation

  Non Conformity

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

  Yes

  No

  N/A

  Observation

  Non Conformity

• Records of external audits & inspections (Flag, Class, PSC inspection & audit reports) available for each vessel ?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Do reports to the company contain root cause analysis & propose corrective actions ?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Are these reports investigated and analyzed by the company?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Have incidents, accidents & casualties been reported to flag authorities as required by flag rules?

  Yes

  No

  N/A

  Observation

  Non Conformity

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

  Yes

  No

  N/A

  Observation

  Non Conformity

• Have there been any new casualties, incidents or major accidents since the last audit?

  Yes

  No

  N/A

  Observation

  Non Conformity

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

  Yes

  No

  N/A

  Observation

  Non Conformity

• Are these reports investigated and analyzed by the company?

  Yes

  No

  N/A

  Observation

  Non Conformity

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

  Yes

  No

  N/A

  Observation

  Non Conformity

• Are the DPA's aware of their role description in the SMS?

  Yes

  No

  N/A

  Observation

  Non Conformity

• How do the DPA's monitor the safety and pollution prevention aspects of the operations of each vessel ensuring that adequate resources and shore based support are given as needed ?

• What matters have the DPA's reported to the top management recently?

Has the company identified potential emergency situations and put in place plans to respond to these?

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

  Yes

  No

  N/A

  Observation

  Non Conformity

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

  Yes

  No

  N/A

  Observation

  Non Conformity

• Can the company respond to a cyber related emergency onboard?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Is the director of IT aware of their responsibility to support yacht managers in case of cyber related emergency?

  Yes

  No

  N/A

  Observation

  Non Conformity

Identification and response procedures for potential emergency situations

• Has the company identified potential emergency shipboard situations and established procedures to respond to these?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Have emergency situations identified by the company been reviewed?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Is the plan for annual joint security (ISPS) exercises and shipboard drills prepared?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Is the "Emergency Contacts" list for each vessel updated & readily available?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Are emergency reporting procedures clearly specified ?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Are measures in place in case of prolonged emergency situation?

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

  Yes

  No

  N/A

  Observation

  Non Conformity

Verification of ship to shore exercises on the basis of exercise reports/records

• Was the emergency response team actually mobilized?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Was the scenario for the exercice prepared?

  Yes

  No

  N/A

  Observation

  Non Conformity

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

  Yes

  No

  N/A

  Observation

  Non Conformity

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

  Yes

  No

  N/A

  Observation

  Non Conformity

• Were outside organizations involved?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Were the exercises performed during office hours?

  Yes

  No

  N/A

  Observation

  Non Conformity

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

  Yes

  No

  N/A

  Observation

  Non Conformity

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

  Yes

  No

  N/A

  Observation

  Non Conformity

Fleet Managers role in monitoring and ensuring compliance

• Fleet Manager

• Can all staff identify Marianne Danissen/Richard Williams/Gianfrano Di Costanzo as DPA?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Is the fleet manager aware of their duties in the SMS and do they have a copy of their job description?

  Yes

  No

  N/A

  Observation

  Non Conformity

• How do the fleet managers monitor compliance with the SMS onboard and the performance of the captain & crew?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Is familiarization training for new senior officers (captain chief officer, chief engineer) done?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Are the safety meetings and monthly reports received and is feedback given?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Are non conformity, observations, defects and reports from flag, class & PSC correctly recorded, followed up and closed?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Are up to date copies of yacht certificates available & certification spreadsheet maintained?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Is the operational manning matrix available for each managed yacht?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Are all crew holding correct, valid certification?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Are correct forms and procedures in use for each managed yacht?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Are shipboard risk assessments and plans required by the SMS maintained and reviewed as required?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Is the office emergency response manual understood?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Are yachts carrying drills out in accordance with SMS requirement?

  Yes

  No

  N/A

  Observation

  Non Conformity

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

  Yes

  No

  N/A

  Observation

  Non Conformity

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?

• Are HR Crew personnel aware of their duties in the SMS and do they have a copy of their job description?

  Yes

  No

  N/A

  Observation

  Non Conformity

• How do Crew HR keep up do date with latest flag requirements for crew certification?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Is a copy of minimum safe manning certificate and operational manning certificate of every vessel available?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Are the copies of masters & officers CoC and if required CeC valid & avaliable?

  Yes

  No

  N/A

  Observation

  Non Conformity

• How has the person responsible checked the authenticity of certificates of competence (CoC)?

• Are certificates of proficiency as required by STCW/flags available?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Are Navigation watch rating/engine watch rating/yacht rating certificates issued in accordance with agreed procedure?

  Yes

  No

  N/A

  Observation

  Non Conformity

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

  Yes

  No

  N/A

  Observation

  Non Conformity

• Is refresher training or additional training required by new rules included in checking process?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Are monthly reminders sent to each yacht showing expiring and expired certificates?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Are HR Crew staff aware of MLC complaints policy & confidential points of contact?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Are HR Crew personnel aware of the procedures in the Crew HR manual

  Yes

  No

  N/A

  Observation

  Non Conformity

Does the company ensure that vessels are maintained in conformity with the provisions of the relevant rules and regulations and with any additional requirements, which may be established by the company?

• Are yacht certificates and survey/audit arrangements properly managed ensuring they are all up to date?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Is planned maintenance completed in accordance with flag & class rules?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Is planned maintenance/ship yard maintenance monitored for compliance with class and flag requirements?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Is planned maintenance executed properly?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Is the fleet manager/technical superintendent responding to failure reports in a timely manner?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Are possible causes described in the failure reports?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Are appropriate corrective actions for the failure reports taken?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Is necessary information such as revisions to flag requirements, technical notices from makers etc. provided to ships under technical management?

  Yes

  No

  N/A

  Observation

  Non Conformity

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

  Yes

  No

  N/A

  Observation

  Non Conformity

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

  Yes

  No

  N/A

  Observation

  Non Conformity

• Have cyber systems onboard been assessed for cyber criticality?

  Yes

  No

  N/A

  Observation

  Non Conformity

• Were there any non conformity / observations raised by the internal audit last year?

  YES

  NO

• Were there any non conformity / observations raised by the external audit last year?

  YES

  NO

• How did you address last year's internal audit non conformity and/or observation?

• How did you address last year's internal audit non conformity and/or observation?

• Do you have any non-conformities?

  YES

  NO

• Details of non conformity

  YES

  NO

• Do you have any observations?

  YES

  NO

• Detail Observation(s)

  YES

  NO

• Conclusion

• Auditor

  Sign