Audit

ISM
Quality, Safety, and Envirnonmental Protection Management System

Is there a procedure about issuing and treating of important company wide information?
ism code no. 3

Is there a procedure about the Control of Docuents of the Quality, Safety, and Environmental Management System? Are the QSE Manuals up to date?
ism code no. 6.1.2

Is there a procedure about the Control of Documents and Data other than part of the QSE System, and are Documents and Data controlled accordingly?
ism code no. 11.2.1

Are Records controlled as per procedure?
ism code no. 11.2.2

Management Responsability

Is the Management Commitment known to be developing and improving the company's SMS System?
ism code no. 3

Is the company's understanding of Customer Focus known? Are the company's customers and their requirements known?
ism code no. 12.5

Is the company's Health, Quality, Safety and Environmental Protection Policy known?
Are the main points
- safe ship operation
- safe working environment
known?
ism code no. 6.1.2

Are the company's Quality Objectives known/ available to all crew?
Is the vessel's safety committee appointed and does it carry out quality planning, including Risk Assessments?
Are Response Plans in case of emergency available and does all crew know where to find them?
ism code no. 6.1.2

Is everybody aware of his Function Description and its' contents?
ism code no. 6.7

Do the Officer's know about the Master's Overriding Authority and are they able to describe the main items of it?
ism code no. 6.1.2 & 6.4

Is the name of the Designated Person Ashore known by all crew?
ism code no. 4 & 6.1.2 & 6.5

Is the Safety Officer appointed by the Master?
ism code no. 1.2.3.1 & 5.1.1 & 5.1.4 & 8

Is the vessel's working language English, and is it used in all non-verbal communication?
Is it known that verbal communication may take placein a language bothe communication partners do understand?
ism code no. 6.6 & 12.5

Human Resources

How is the Crew's Qualification checked prior to emplyment (/by who), and how is it verified during signing on?
ism code no. 5.1.4

Are newly assigned crewmembers properly familiarised?
Is a Safety Familiarisation carried out for all on-signing crew?
Are the specific familiarizations carried out for nautical/ technical officers?
ism code no. 1.2.3.1 & 5.1.1 & 6.1.2 & 6.3 & 6.5

Is the Drug- and Alcohol Abuse Policy known to everybody and is the "limit" clearly understood?
ism code no. 3

Are the regulations regarding working and resting times for seamen clearly understood and are records kept accordingly and true? (Comparison with Log Books/ Bell Book)
ism code no. 1.2.3.1 & 5.1.4 & 8.2

Are SOLAS Training Manual and Fire Operational Booklet available in mess room and are the ship specific chapter filled out?
ism code no. 1.2.3.1 & 8.1

Infrastructure and Work Environment

Procedure about entering tanks and other confined spaces?
ism code no. 1.2.2

Procedure about Hot Work?
ism code no. 1.2.2

Maintenance of Ship, Engine and Equipment
ism code no. 1.2.2

Is the procedure about Risk Assessments known? Are Risk Assessments carried out?
ism code no. 1.2.2

Purchasing

Internal Requisitioning?
ism code no. 7

Receiving goods and reporting?
ism code no. 7

Service Provisions

Are Standing Orders/ Night Orders being issued, properly signed and controlled?
ism code no. 5.1.3

Are checklists available and followed for the preparation for arrival and for departure? Is the Master aware of Go-/ NoGo Situations?
ism code no. 5.1.4 & 7

Is voyage planning carried out in accordance with the procedure, containing all necessary data, from berth to berth?
ism code no. 1.2.3.1 & 5.1.4 & 7

Are the nautical officers aware about the procedure for navigation in restricted waters?
ism code no. 1.2.3.1 & 5.1.4 & 7

Are the nautical offiers aware about the procedure for navigating in heavy weather?
ism code no. 1.2.3.1 & 5.1.4 & 7

Are procedures in regard to Loading and DIscharging Operations avalable and understood?
ism code no. 5.1.4 & 7

Are procedures in place in regard to treatment and supervision of cargo?
ism code no. 5.1.4 & 7

Are Master and deck Officers aware about the procedure regarding the carriage of Dangerous Cargo?
ism code no. 5.1.4 & 7

Is everybody aware about the procedure regarding Environmental Protection (MARPOL V 2013)?
ism code no. 5.1.4 & 7

Is the BWMP available and is Ballast Water Management being carried out?

Is the table of shipboard working arrangement clear, up to date, and in compliance with work/ rest time calculations?
ism code no. 1.2.3.1 & 7

Is a Bunkering Procedure in place and is it being rigurously followed?
Is the relevant Checklist being worked through?
ism code no. 2.2 & 8.1

Is the Garbage Management Plan available updated and important information displayed as required? Is it known to all crew?
ism code no. 1.2.3.1 & 5.1.4

Monitoring and Measuring

Are vessels and Engine Operational Data being properly recorded? (Log books, GLSM, etc)
ism code no. 1.2.3.1 & 5.1.4 & 10.2.4

Are technical inspections by superintendent being carried out twice a year?
ism code no. 9.2 & 10.2.2 & 10.2.3

Date of last visit by a technical inspector:

Are Lifesaving- and Firefighting Appliances regularly insected, and is the Safety Officer aware about the requirements of carriage?
ism code no. 1.2.3.1

Are technical Officers aware about the Critical Equipment on board? Can they show a list of critical equipment? Can they describe/ show how to classify critical equipment?
ism code no. 10.3

Is critical equipment regularly checked and are records available? (See GLSM PMS)
ism code no. 10.3

Internal Audits

Is the procedure regarding Internal Audits known by the Master and Senior Officers?
ism code no. 12.3

When was the last internal Audit carred out? ism code no. 12.1

What was the result of the last internal Audit? Have all Non Compliances been closed out properly and all corrective and preventive actions been done?
ism code no. 12.5

Control of Non Conformity

Is everybody on board aware, that deficiencies have to be reported?
ism code no. 12.8

Date of the last PSC: ism code no. 9.1

Place and Result of the last PSC ism code no. 9.1

Date of the Last Flag State Inspection ism code no. 4 & 6.1.3 & 6.4

Place and Result of the last Flag State Inspection ism code no. 4 & 6.1.3 & 6.4

Is the class status of the vessel valid?
ism code no. 1.2.3.1

Are damages and claims properly reported and followed up?
ism code no. 10.2.2 & 10.2.3

Date of last MLC inspection ism code no. 7

Place and Result of the last MLC inspection ism code no. 7

Analysis of Data

Are senior Officers aware, that deficiencies detected by external surveyors have to be reported by using the GLSM Safety Management Reporting.
Are Non Conformities, Accidents, Occurrences and Serious Incidents properly reported?
ism code no.

Improvement

Is the Term "Corrective Action" clear and known by all Officers?
ism code no. 9.2

Is the term "Preventive Action/ Action to prevent recurrence" known to all Officers?
ism code no. 9.2

Are Drills and Trainings to Prepare for Emergency Situations carried out as required and logged accordingly?
ism code no. 1.2.3.1 & 5.1.1 & 5.1.4 & 8

Has the Emergency Telephone Number been tested successfully? ism code no. 8.3

Who answered the Emergency Call? ism code no. 8.3

Certification Verification and Control

Is a valid Copy of the Document of Compliance (Company) available?
ism code no. 3

Is the Letter according ISM Code 3.1 available (Declaration of Company)?
ism code no. 3.1

Are the results of the external audits available and satisfactory?
ism code no. 9.1

External ISM Audit carried out on: ism code no. 9.1
Environmental Protection

Are environmental objects and program available?
ism code no. 3 & 8.3

Are environmental aspects available?
ism code no. 3 & 8.3

Are environmental targets available and understood?
ism code no. 3 & 8.3

Remarks

The Master is fully conversant with the SMS?
ism code no. 5.11

The Chief Engineer is fully conversant with the SMS?
ism code no. 6.4

The Chief Officer is fully conversant with the SMS?
ism code no. 6.4

Is all crew sufficiently conversant with the relevant items of the SMS System Safe Working Practices and ISM Requirements?
ism code no. 6.5

Have the log books been reviewed including related documentation in Audit report and via Log Book entry?
ism code no. 7

Have the Gas Detecion Devices been calibrated annually?
ism code no. 7

(If applicable) Have all Non Compliances and Observations from previous Audits been duly dealt with?
ism code no. 12.6

Has the Planned Maintenance System been controlled?
ism code no. 10.1

Further Remarks:

Remarks

Remarks

Completion of Audit

The internal ISM audit has been completed. Audit Participants as per attached Audit Participants List.

Date/ Time of Completion
Auditor's Signature
Captain 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.