Internal International Safety Management (ISM) Code Audit Report

• Site conducted

• Conducted on

  Date

• Auditor

• Auditee

• Audit Standard

  Select International Safety Management Code (ISM) ISO 9001 ISO 14001 ISO 45001

  • International Safety Management Code (ISM)
  • ISO 9001
  • ISO 14001
  • ISO 45001

• Date of last internal audit

  Date

• Are any actions from previous internal audit still outstanding?

  Yes

  No

  N/A

• Date of last external audit (DOC)

  Date

• Are any actions from previous external audit still outstanding?

  Yes

  No

  N/A

• 1.2.1 Does the company / safety management system satisfy the requirement to ensure safety at sea, prevention of human injury or loss of life, and avoidance of damage to the environment, in particular the marine environment and to property?

  Yes

  No

  N/A

• 1.2.2.1 Do the Safety management objectives of the company provide for safe practices in ship operation and safe working environment?

  Yes

  No

  N/A

• 1.2.2.2 Do the safety management objectives of the company assess all identified risks to it's ships, personnel and the environment and establish appropriate safeguards?

  Yes

  No

  N/A

• 1.2.2.3 Does the safety management objectives of the company continuously improve safety management skills of personnel ashore and aboard ships, including preparing for emergencies related both to safety and environmental protection?

  Yes

  No

  N/A

• 1.2.3.1 Does the SMS ensure compliance with mandatory rules and regulations?

  Yes

  No

  N/A

• 1.2.3.2 Does the SMS ensure that applicable codes, guidelines and standards recommended by the IMO, flag state, class societies and maritime industry organisations are taken into account?

  Yes

  No

  N/A

• 1.3 Are the requirements of the ISM code applied to all ships within the company?

  Yes

  No

  N/A

• Verify Company Safety Management Structure (Org chart)

  Yes

  No

  N/A

• 1.4.1 Verify Safety and Environmental-protection policy

  Yes

  No

  N/A

• 1.4.2 Does the company have instructions and procedures to ensure safe operation of ships and protecting of the environment in compliance with relevant international and flag state legislation?

  Yes

  No

  N/A

• 1.4.2 Confirm / verify procedures in place:

  Select Communications (covering shore / ship / shore) Ship / management visits Internal Meetings Accident / incident reporting Non-conformity reporting / management Emergency response procedures (ship / shore) Internal Audit Master's reviews

  • Communications (covering shore / ship / shore)
  • Ship / management visits
  • Internal Meetings
  • Accident / incident reporting
  • Non-conformity reporting / management
  • Emergency response procedures (ship / shore)
  • Internal Audit
  • Master's reviews

• 1.4.3 Does the Safety Management System define levels of authority and lines of communication between, and amongst shore and shipboard personnel?

  Yes

  No

  N/A

• 1.4.4 Does the Safety Management System contain procedures for reporting accidents and non-conformities?

  Yes

  No

  N/A

• 1.4.5 Does the Safety Management System contain procedures to prepare for and respond to emergency situations?

  Yes

  No

  N/A

• 1.4.6 Does the safety management system contain procedures for internal audits and management reviews?

  Yes

  No

  N/A

• 2.1 Review Company Safety and environmental protection policy

  Yes

  No

  N/A

• 2.2 Is the Company Safety and Environmental protection policy implemented from the highest level of the organisation?

  Yes

  No

  N/A

• 2.2 Are management personnel familiar with policies?

  Yes

  No

  N/A

• Verify policies:

  Select Quality Policy Occupational Health & Safety Policy Environmental Management Policy D&A Policy IT Policy Stop Work Authority Cyber Security Policy

  • Quality Policy
  • Occupational Health & Safety Policy
  • Environmental Management Policy
  • D&A Policy
  • IT Policy
  • Stop Work Authority
  • Cyber Security Policy

• 2.2 How does the company ensure that the S&E Policy is implemented and maintained at all levels of the organisation, both ship-based and shore-based?

  Yes

  No

  N/A

• 3.1 Is the entity responsible for the operation of the ship also the owner?

  Yes

  No

  N/A

• 3.1 If the entity who is responsible for the operation of the ship is other then the owner, has the owner reported the full name and details of such entity to the administration?

  Yes

  No

  N/A

• 3.2 Does the Safety Management System define and document the responsibility, authority and interrelation of all personnel who manage, perform and verify work relating to and affecting safety and pollution prevention?

  Yes

  No

  N/A

• 3.2 Confirm the following positions of responsibility and authority are verified and roles defined within the Safety Management System:

  Select DP (DPA) Company Directors / Management Fleet Resourcing / HR management Head of Fleet Vessel Superintendent (Technical Manager)

  • DP (DPA)
  • Company Directors / Management
  • Fleet Resourcing / HR management
  • Head of Fleet
  • Vessel Superintendent (Technical Manager)

• 3.3 Does the company management system identify how adequate shore-based support is provided to enable the designated person or persons to carry out their functions?

  Yes

  No

  N/A

• 4 Does the Safety Management System effectivly identify the DP(s)?

  Yes

  No

  N/A

• Provide name of DP(s)

• 4 Is more than 1 DP identified within the Safety Management System?

  Yes

  No

  N/A

• How is DP function maintained during periods of leave?

• 4 Are the responsibilities of the DP(s) documented within the Safety Management System?

  Yes

  No

  N/A

• 4 Does the DP have a record of interventions / link with highest level of management?

  Yes

  No

  N/A

• 4 Does the DP monitor safety and pollution-prevention aspects of the operation of each ship?

  Yes

  No

  N/A

• 4 Is the DP able to ensure adequate resources and shore-based support are applied, as required?

  Yes

  No

  N/A

• 5.1 Verify the Safety Management system contains provisions covering the following areas of Master's responsibility:

  Select 5.1.1 implementing the safety and environmental-protection policy of the company. 5.1.2 motivating the crew in the observation of the S&E policy. 5.1.3 issue appropriate orders and instructions in a clear and simple manner. 5.1.4 verifying that specified requirements are observed. 5.1.5 periodically reviewing the safety management system and reporting its deficiencies to the shore-based management.

  • 5.1.1 implementing the safety and environmental-protection policy of the company.
  • 5.1.2 motivating the crew in the observation of the S&E policy.
  • 5.1.3 issue appropriate orders and instructions in a clear and simple manner.
  • 5.1.4 verifying that specified requirements are observed.
  • 5.1.5 periodically reviewing the safety management system and reporting its deficiencies to the shore-based management.

• 5.1 Is the safety management procedure covering Master's review of the SMS being followed?

  Yes

  No

  N/A

• 5.1 Are all sections of the Safety Management System included within the Master's review system?

  Yes

  No

  N/A

• Was a sample reviewed?

  Yes

  No

  N/A

• 5.2 Does the Safety Management System contain a clear statement emphasizing the master's authority?

  Yes

  No

  N/A

• 5.2 Does the Safety Management System establish that the master has the overriding authority and the responsibility to make decisions with respect to safety and pollution prevention and to request the company's assistance as may be necessary?

  Yes

  No

  N/A

6.1 The Master

• 6.1.1 Are provisions in place to ensure each master is properly qualified for command?

  Yes

  No

  N/A

• 6.1.2 Are provisions in place to ensure each master is fully conversant with the company's safety management system?

  Yes

  No

  N/A

• 6.1.3 Are provisions in place to ensure each master is given necessary support so that the master's duties can be safely performed?

  Yes

  No

  N/A

6.2 Each Ship

• 6.2.1 Are provisions in place to ensure each ship is manned with qualified, certified and medically-fit seafarers in accordance with national and international requirements?

  Yes

  No

  N/A

• 6.2.2 Are provisions in place to ensure each ship is appropriately manned in order to encompass all aspects of maintaining safe operations on board? (*Minimum Safe Manning)

  Yes

  No

  N/A

6.3 - 6.7 The Company

• 6.3 Is provision in place to ensure new personnel and personnel transferred to new assignments related to safety and protection of the environment are given proper familiarisation with their duties?

  Yes

  No

  N/A

• 6.3 Are instructions essential to be provided prior to sailing identified within the SMS? documented and given?

  Yes

  No

  N/A

• 6.4 Does the company ensure that all personnel involved in the company's safety management system have adequate understanding of relevant rules, regulation, codes and guidelines?

  Yes

  No

  N/A

• 6.5 Has the company established and maintained procedures for identifying training?

  Yes

  No

  N/A

• 6.6 Has the company established procedures by which the ships personnel receive relevant information on the safety management system in a working language or languages understood by them?

  Yes

  No

  N/A

• 6.7 Are there procedures in place to ensure that the ship's personnel are able to communicate effectively in the execution of their duties related to the safety management system?

  Yes

  No

  N/A

• 7 Are procedures, plans and instructions, including checklists as appropriate for, key shipboard operations concerning the safety of the personnel, ship and the protection of the environment?

  Yes

  No

  N/A

• 7 Are tasks defined and assigned to qualified personnel?

  Yes

  No

  N/A

• 7 Check sample of a company issued checklist

  Yes

  No

  N/A

• 8.1 Has the company identified potential emergency shipboard situations, and established procedures to respond to them?

  Yes

  No

  N/A

• 8.2 Has the company established programmes for drills and exercises to prepare for emergency actions?

  Yes

  No

  N/A

• 8.3 Does the SMS provide for measurers ensuring the company's organisation can response at any time to hazards, accidents and emergency situations involving it's ships?

  Yes

  No

  N/A

• 8.3 Are records showing company emergency drills with vessels available for inspection?

  Yes

  No

  N/A

• Date of last company emergency drill

  Date

• 9.1 Does the safety management system include procedures ensuring that non-conformities, accidents and hazardous situaitons are reported to the company?

  Yes

  No

  N/A

• 9.1 Are non-conformities, accidents and hazardous situations investigated effectively?

  Yes

  No

  N/A

• 9.1 Are non-conformities, accidents and hazardous situations analysed with the objective of improving safety and pollution prevention?

  Yes

  No

  N/A

• 9.2 Has the company established procedures for the implementation of corrective actions?

  Yes

  No

  N/A

• 9.2 Do corrective actions sampled include measures intended to prevent recurrence of non-conformities, accidents and hazardous situations?

  Yes

  No

  N/A

• 10.1 Has the company established procedure to ensure that the ships are maintained in conformity with the provisions of the relevant rules and regulations and with any additional requirements which may be established the company?

  Yes

  No

  N/A

• 10.2.1 Are inspections held at appropriate intervals?

  Yes

  No

  N/A

• 10.2.2 are non-conformities reported with possible cause?

  Yes

  No

  N/A

• 10.2.3 Is evidence available to show appropriate corrective action taken?

  Yes

  No

  N/A

• 10.2.4 Is detail relating to activities in maintenance of ships and equipment recorded?

  Yes

  No

  N/A

• 10.2.4 Is a planned maintenance system in place?

  Yes

  No

  N/A

• 10.3 Has the company identified equipment and technical systems the sudden operational failure of which may result in hazardous situations?

  Yes

  No

  N/A

• 10.3 Does the Safety Management system provide for specific measures aimed at promoting the reliability of critical equipment and systems?

  Yes

  No

  N/A

• 10.3 Does the Safety Management system include provision of procedure for regular testing of stand-by arrangements and equipment or technical systems that are not in continuous use?

  Yes

  No

  N/A

• 10.4 Are previsions of 10.2 & 10.3 integrated into the ships operational maintenance routines?

  Yes

  No

  N/A

• 11.1 Has the company established and maintained procedures to control all documents and data with are relevant to the Safety Management System?

  Yes

  No

  N/A

• 11.2.1 Does the company ensure that valid documents are available at all relevant locations?

  Yes

  No

  N/A

• 11.2.2 Does the company ensure that changes to documents are reviewed and approved by authorised personnel?

  Yes

  No

  N/A

• 11.2.3 Does the company ensure that obsolete documents are promptly removed?

  Yes

  No

  N/A

• 11.3 Does each ship carry on board all documentation relevant to that ship?

  Yes

  No

  N/A

• 12.1 Has the company carried out internal safety audits on board and ashore at intervals not exceeding 12 months?

  Yes

  No

  N/A

• If an internal safety audit is overdue, has this period exceeded 15 months since the last audit?

  Yes

  No

  N/A

• 12.2 Has the company periodically verified whether all those undertaking delegated ISM-related tasks are acting in conformity with the company's responsibilities under the code?

  Yes

  No

  N/A

• 12.3 Has the company periodically evaluated the effectiveness of the safety management system in accordance with procedures established by the company?

  Yes

  No

  N/A

• 12.4 Have audits and possible corrective actions been carried out in accordance with documented procedures?

  Yes

  No

  N/A
• 12.5 Are personnel carrying out audits independent of the areas being audited?
  Address

• 12.6 Are results of audits and reviewed brought tot he attention of all personnel having responsibility in the area involved?

  Yes

  No

  N/A

• 12.7 Are corrective actions on deficiencies found during audit being closed in a timely manner?

  Yes

  No

  N/A