• Document No.

  • Conducted on

  • Prepared by

  • Location
  • 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?

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

  • 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?

  • Are the obsolete documents removed as per procedures?

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


  • Are the valid documents available at the relevant locations?

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


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

  • 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?

  • 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?

  • Are the objectives of SMS clearly stated?

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

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

  • 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?

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

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

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


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

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

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

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

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

  • Has corrective action been effective?


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?

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

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

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

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

  • Are these reports investigated and analyzed by the company?

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

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

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

  • 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,


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

  • 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?

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

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

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

Identification and response procedures for potential emergency situations

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

  • Have emergency situations identified by the company been reviewed?

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

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

  • Are emergency reporting procedures clearly specified ?

  • 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?

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

  • Was the emergency response team actually mobilized?

  • Was the scenario for the exercice prepared?

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

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

  • Were outside organizations involved?

  • Were the exercises performed during office hours?

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

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


    Fleet Managers role in monitoring and ensuring compliance
  • Fleet Manager

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

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

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

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

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

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

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

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

  • Are all crew holding correct, valid certification?

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

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

  • Is the office emergency response manual understood?

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

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


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?

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

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

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

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

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

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

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

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

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

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

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


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?

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

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

  • Is planned maintenance executed properly?

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

  • Are possible causes described in the failure reports?

  • Are appropriate corrective actions for the failure reports taken?

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

  • 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?

  • Have cyber systems onboard been assessed for cyber criticality?


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

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

  • 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?

  • Details of non conformity

  • Do you have any observations?

  • Detail Observation(s)

  • Conclusion

  • Auditor

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