Audit

Element 1: General

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

Are personnel familiar with incident reporting procedures? (1.4.4)

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

Element 2: Safety and Environmental Protection Policy

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

Do crew members understand the Safety and Environmental Policy?

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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)

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

Are personnel familiar with the organizational chart? (3.2)

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

Are personnel familiar with their defined responsibilities? (3.2)

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

Element 4: Designated Person

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

Element 5: Master's Responsibility and Authority

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

Is the Master aware of his responsibilities? (5.1)

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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)

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

Element 7: Shipboard Operations

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

Is oil record book properly maintained? (SMS 2.2)

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

Are JSAs performed for required task? (SMS 7.3)

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

Is a safe means of embarkation and disembarkation available?

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

Element 8: Emergency Preparedness

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

Are means of escape and access free from obstruction?

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

Are fire and safety plans current and up to date?

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

How should hazardous occurrences be reported? (9.1)

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

Does document binder contain required documents? (11.2.1)

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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)

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

Have corrective actions been implemented? (9.2)

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

Element 10: Maintenance of the Ship and Equipment

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

Are M-10s / SE2s current? (10.2)

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

Are bilges free of excessive accumulation of oil?

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

Element 11: Documentation

Does vessel have required publications onboard? (11.1.2)

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

Element 12: Company Verification, Review, and Evaluation

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

Date of audit.

Have previous audit findings been reviewed? (12.5)

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

Element 13: Certification and Verification

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

Is the DOC valid? (13.2)

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

Is the Safety Management Certificate valid? (13.7)

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

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

Type of non-conformity

Explanation for non-conformance.

Root cause of non-conformance.

Signature of auditor who discovered non-conformity.

Comments

Number of major non-conformities

Number of minor non-conformities

Number of observations

Lead Auditor
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.