ISM Internal Audit

• Vessel Name

• Conducted on

  Date

• Prepared by

• Location
  Address

• Audit Team

• Crew on Board

Element 1: General

• Does the crew know what the ISM code is? (1.1.1)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Does the crew know what the objectives of the ISM code are? (1.2.1)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Does the crew demonstrate knowledge and familiarity with applicable codes, guidelines, and standards? (1.2.3.2) (6.4)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Is the crew aware of the applicability of the ISM code? (1.3)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Is the SMS manual onboard, complete, and current? (1.4)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Is the SMS accessible to all crew members? (1.4)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Are personnel familiar with the levels of authority on board the vessel and ashore? (1.4.3)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Are personnel familiar with incident reporting procedures? (1.4.4)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Can crew members define a non-conformity? (1.1.9) (1.4.4)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Are personnel familiar with the meanings of various emergency alarms and their responsibilities during these emergencies? (1.4.5)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

Element 2: Safety and Environmental Protection Policy

• Is the most current version of the Safety and Environmental Policy posted?

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Do crew members understand the Safety and Environmental Policy?

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

Element 3: Company Responsibilities and Authority

• Does documentation on board the vessel show the correct identity of the vessel operator? i.e. Flag State Letter, Continuous Synopsis Report, , C.O.I., D.O.C., S.M.C. (3.1)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Are personnel familiar with the organizational chart? (3.2)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Are personnel aware of who holds the overall responsibility for the safety management system? (3.2)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Are personnel familiar with their defined responsibilities? (3.2)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

Element 4: Designated Person

• Do crew members know who the designated person is? (SMS 4.3)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Do crew members know the role of the designated person? (SMS4.2)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

Element 5: Master's Responsibility and Authority

• Can the Master describe and locate the company policy on Master's overriding authority? (5.2)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Is the Master aware of his responsibilities? (5.1)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Are there current Master's standing and night orders in accordance with the SMS? (5.1.3)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Is master verifying the crew is observing the procedures and processes specified in the SMS? (5.1.4)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Date of the last Master's Management Review (5.1.5)

Element 6: Resources and Personnel

• Is the Master properly qualified for the vessel and voyage? (6.1)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Is the crew properly qualified for the vessel and voyage? (6.2)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Have all new new crew members been given a vessel orientation upon assignment or transfer to the vessel? (6.3)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Have crew members met requirements of the company for onboard training? (6.5)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Are crew members compliant with any addition required training by customers or other agencies? i.e. Rigging, crane, H2S, etc. (6.5)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Is the Safety Management System printed in a language common to all crew members? (6.6)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Do all crew members speak a common language? (6.7)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Have watch keeping schedules been established and a record of rest maintained as per STCW? (STCW A VIII/1.2.2)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

Element 7: Shipboard Operations

• Are relevant charts and navigational publications corrected to date? (SMS 7.2)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Are pre-departure/arrival checks performed? (SMS 7.2)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Are voyage plans prepared prior to departure? (SMS 7.2)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Are rough logs complete, accurate, and up to date? (46 CFR 131.610)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Are proper handovers conducted for bridge and engine room personnel? (SMS 6.3)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Is garbage managed in accordance with Waste Management procedures? (SMS 2.2)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Are D.O.I.s properly completed for transfers of hazardous materials to are from the vessel via hose? (SMS 2.2)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Is oil record book properly maintained? (SMS 2.2)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Are bunker notes and fuel samples maintained for each bunkering operation? (MARPOL Annex VI Reg 18)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Is there evidence of proper disposal of waste oil? (SMS 2.2)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Are work permits complete for the appropriate task? (SMS 7.26)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Is there evidence of use of lockout tagout on board? (SMS 7.15)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Are JSAs performed for required task? (SMS 7.3)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Are personnel familiar with Safety Data Sheets? (SMS 7.9)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Are deck crew familiar with life saving gear, use, and maintenance? (SMS 7.11)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Is a safe means of embarkation and disembarkation available?

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

Element 8: Emergency Preparedness

• Is a current station bill and muster list available? (46 CFR 131.350)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Have emergency drills been carried out as prescribed by the SMS? (8.2)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Can crew members demonstrate their responsibilities in various emergency drills? (8.2)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Are emergency and life saving equipment accessible and available for immediate use? (46 CFR 131.590, 131.540)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Is there evidence that emergency generator has been run under load for at least 2 hours each month? (46 CFR 131.525)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Are means of escape and access free from obstruction?

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Are fire and safety plans current and up to date?

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

Element 9: Reports and Analysis of Non-Conformities, Accidents, and Hazardous Occurrences

• How should hazardous occurrences be reported? (9.1)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Can the crew describe the process for reporting non-conformities? (9.1)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Can crew members describe how documents are controlled? (11.1)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Does document binder contain required documents? (11.2.1)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Can crew members describe the difference between a near miss, observation, and an incident and how to report, file, and close each out? (9.1)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Have corrective actions been implemented? (9.2)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

Element 10: Maintenance of the Ship and Equipment

• Is the vessel clean, tidy, and well illuminated? (SMS 9.3)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Are M-10s / SE2s current? (10.2)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Are M10 / SE2 items properly closed out? (10.2)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Are daily, weekly, monthly, quarterly, and annual condition reports completed accurately? (Maintenance Manual)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Are non-conformity reports generated for previously reported items that have not been addressed in a timely manner? (Maintenance Manual)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Have corrective actions for any non-conformities been carried out? (Maintenance Manual)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Are bilges free of excessive accumulation of oil?

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

Element 11: Documentation

• Does vessel have required publications onboard? (11.1.2)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Is the vessel free of any obsolete documents on board? (11.2.3)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

Element 12: Company Verification, Review, and Evaluation

• Has an internal audit been carried out within the previous 12 months? (12.1)

  Yes

  No

  N/A

• Date of audit.

  Date

• Have previous audit findings been reviewed? (12.5)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Were corrective actions implemented in a timely manner? (12.6)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Are there any outstanding corrective actions from previous audits? (12.3)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

Element 13: Certification and Verification

• Does the operating company posses a Document of Compliance? (13.1)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Is the DOC valid? (13.2)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Is the vessel of the type listed on the DOC? (13.3)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Has the DOC been subject to annual verification within three months of the anniversary date? (13.4)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Is the Safety Management Certificate valid? (13.7)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

• Has the SMC been subject to an intermediate verification? (13.8)

  Yes

  No

  N/A

• Type of non-conformity

  Select Major Minor

  • Major
  • Minor

• Explanation for non-conformance.

• Root cause of non-conformance.

• Signature of auditor who discovered non-conformity.

  Sign

Comments

• Number of major non-conformities

• Number of minor non-conformities

• Number of observations

• Lead Auditor

  Sign