Internal ISM Audit Checklist

Rev. no.: 4 Document: 12.01.
01-01
Revision Date: 22/10 2015 Page: 1 of 11
Retention time 60 months
No.: Item: Remark: Yes No N/A ISM:

1.1 Bridge
Is there any inoperable If Yes, go to 10.11
1.1.1 nautical instrument or radio up to 10.15 10
equipment?
Are updated versions of
1.1.2 nautical publications 1.2.3.1/11.2.1
available?
Are maritime safety
1.1.3 information notices checked 1.2.3.1 / 7
regularly?
Are Nautical charts and
1.1.4 Notice to Mariners 1.2.3.1 / 7
controlled properly?
Is standing order or night
1.1.5 order issued regularly by 5.1.3
the master?
1.2 Accommodation Space
Is there any crew If Yes, go to 10.11
accommodations left up to 10.15
1.2.1 10
unattended with their
function unserviceable?
Are updated versions of
1.2.2 Muster lists available 1.2.3.1 / 8.1
throughout Vessel?
Is a SOLAS training manual
1.2.3 1.2.3.1 / 8.2
provided?
Are ship's drawings and
1.2.4 instruction books controlled 11.2.1
properly?
Is posted placard for
garbage disposal written in
1.2.5 1.2.3.1 / 6.6
language understood by
crew?
Is watch schedule for watch
1.2.6 1.2.3.1 / 7
keeper posted?
Is the Hospital ready for
1.2.7 1.2.3.1 / 8.1
emergency use?
Are medicines properly
1.2.8 1.2.3.1 / 8.1
controlled?
1.3 On deck
Are closing appliances, 1.2.3.1 / 10
1.3.1 L.S.A. and F.F.A maintained
properly?
Is there any damaged If Yes, go to 10.11 1.2.3.1 / 10
1.3.2 equipment or hull part up to 10.15
being left unattended?
Is there any part which is If Yes, go to 10.11 1.2.3.1 / 10
1.3.3
temporarily repaired? up to 10.15
1.4 Engine room / Steering room
1.4.1 Are there any machinery If Yes, go to 10.11 10
Uncontrolled when printed

Rev. no.: 4 Document: 12.01.01-01
left unattended with their up to 10.15

function inoperable?
Is evacuation route
1.4.2 1.2.3.1 / 8.1
secured?
Is operating instruction of
1.4.3 steering changeover 1.2.3.1 / 7
posted?
1.5 Interview with ratings
1.5.1 Interview with the ratings -
1.5.2 When did he join? -
Did he undergo
1.5.3 familiarization training just 1.2.3.1 / 6.3
after joining?
Was essential instruction
1.5.4 prior to sailing given to 6.3
him?
When did he last participate
1.5.5 Refer 8.7 -
in an abandon ship drill?
Does he know his assigned 1.2.3.1 /
1.5.6 5.1.1 / 8.2
duties in an emergency?
Has he received instructions
1.2.3.1 /
1.5.7 on how to use fireman outfit 5.1.1 / 8.2
or breathing apparatus?
Does he understand what
1.5.8 signals are given in the 8.1 / 8.2
event of emergency?
1.6 Interview with the Master
1.6.1 Are the effective statutory 1.2.3.1 /
10.1 / 11.1
certificates and survey
records available on board
the ship?
Is validity of statutory 1.2.3.1 /
certificates informed to the 10.1 / 11.1
1.6.2
company as per the
procedures?
1.6.3 Is Classification Certificate 1.2.3.1
properly endorsed?
1.6.4 Are classification survey 1.2.3.1
records maintained
properly?
1.6.5 Number and Nationality of
certified officers
1.6.6 Number and Nationality of
ratings?
Is the ship manned in 6.2
1.6.7 compliance with the safe
manning document?
1.6.8 Does each Master or Officer 6.2
hold an Appropriate
Certificate or a Dispensation
in accordance with
STCW95?
1.6.9 In case a ship is of a 6.2

Rev. no.: 4 Document: 12.01.01-01
Country other than the

Party who issued the
Certificate, does each
Master or Officer hold, in
addition to the above
(1.6.8), an Endorsement
attesting the Recognition or
a Dispensation issued by
flag state, or a
Documentary proof that
application for an
endorsement has been
submitted to the
Administration?
1.6.1 Are original copies of 6.2
0 Master’s or Officer’s
Certificates and
Endorsements kept on
board the ship? (Medical
certificates, Coc’s)
1.6.1 Are ratings forming part of 6.2
1 navigational or engine-room
watch duly certificated?
1.6.1 Do Master, Officers and any 6.2
2 person with responsibility
for loading, discharging and
care in transit or handling
cargo serving on tanker
(oil/gas/chemical) hold
Appropriate Certificates?
(May be a future
requirement- there has
been talk of something
similar to a DCE for Supply)
1.6.1 Are all ratings assigned to 6.2
3 specific duties and
responsibilities related to
cargo or cargo equipment
on tanker (oil/gas/
chemical) duly certificated?
(May be a future
requirement)
1.6.1 Are necessary items
1.2.3.1 /
4 entered as per SOLAS
5.1.4 / 8.2
requirements?
1.6.1 Are necessary items
5.1.4 / 7 / 8.2
5 entered as per the SMS?
1.6.1 Are necessary entries made 1.2.3.1 /
6 to Oil Record Book? 5.1.4
1.6.1 Are necessary entries made 1.2.3.1 /
7 to Garbage Record Book? 5.1.4
1.6.1 Is SOPEP/SMPEP approved, 4 / 6.1.3 / 6.4
8 updated and available?
1.6.1 Does the ship comply with 1.2.3.1
9 the flag state requirements?
1.6.2 Are Rest hours frequently 1.2.2.1

Rev. no.: 4 Document: 12.01.01-01
0 monitored by the master?

1.6.2 Have seafarers brought 1.2.3.2
1 along a copy of the SEA
(seafarers Employment
Agreement).
2. N/A
3. Company responsibilities
3.1 Is there any evidence 13.1
showing that the ship is
managed by the company
which is indicated on the
DOC?
4. Designated Person
4.1 Is Master familiar with the
requirements of the
company's SMS relating to
6.1.2
Section 4 of the ISM Code,
referring to
Manual/Procedures?
4.2 Is DPA known by master
4 / 6.1.2 / 6.5
and key personnel?
4.3 Is the role of DPA known by
4 / 6.1.2 / 6.5
key personnel?
5. Master's responsibilities and authority
requirements of the
6.1.2
referring to
Manual/Procedures?
5.2 Does master motivate the
crew in the observation of 5.1.2
the Company policy?
5.3 Does Master issue
appropriate orders and
5.1.3
instructions in a clear and
simple manner?
5.4 Does Master verify that
specified requirements have 5.1.4
been observed?
5.5 Has Master reviewed the
SMS and reported its
5.1.5
deficiencies to the
company?
5.6 Is Master aware of the
overriding authority ensured 6.1.2 / 6.4
under the ISM Code?
5.7 Is Master aware of the
authority to request the
6.1.3 / 6.4
company's assistance as
may be necessary?
5.8 Has Master exercised the
5.1.1
overriding authority?

Rev. no.: 4 Document: 12.01.01-01
6. Resources and Personnel

requirements of the
6.1.2
referring to
Manual/Procedures?
6.2 Have all crew members
received pre-joining training 6.1.2 / 6.5
as per the procedures?
6.3 Have on-board trainings
and instructions been
5.1.1 / 6.5
conducted as per the
procedures?
6.4 Have newly joined crew
members received the 1.2.3.1 /
familiarization training 5.1.1 / 6.3
required by the STCW?
6.5 Have newly joined crew
members received the
familiarization training 1.2.3.1 /
required by the SOLAS 5.1.1 / 6.3
within 2 weeks after
joining?
6.6 Have on-board trainings
and instructions required by 1.2.3.1 /
the SOLAS conducted 5.1.1
regularly?
6.7 What is the on-board
common language specified 6.6
by the company?
6.8 Are SMS related documents
given in a language 6.6
understood by ship's crew?
6.9 Are all crew able to read If No, go to 6.10
and understand the SMS 6.6
manual?
6.10 Has the company
established any plan to
cope with the case where 6.6
crew is unable to read and
understand the manual?
6.11 Are crews able to
communicate effectively in
6.7
the execution of their
duties?
6.12 Is Officer’s SMS awareness
on an acceptable level? (to
4 / 6.1.2 / 6.5
be judged at the end of
audit)
7.0 Shipboard Operations
7.1 Is Master familiar with the 6.1.2
requirements of the

Rev. no.: 4 Document: 12.01.01-01

referring to
Manual/Procedures?
7.2 Have operations during 4 / 5.1.1 /
departure been performed 5.1.4 / 7 /
as per the procedures? 12.1
7.3 Have navigational 4 / 5.1.1 /
operations been performed 5.1.4 / 7 /
as per the procedures? 12.1
7.4 Have arrival operations 4 / 5.1.1 /
been performed as per the 5.1.4 / 7 /
procedures? 12.1
7.5 Does the safety
4 / 5.1.1 /
management system
5.1.4 / 7 /
include navigation
12.1
procedure?
7.6 Is there a documented
4 / 5.1.1 /
procedure to ensure fully
5.1.4 / 7 /
corrected charts are in place
12.1
for the forthcoming voyage?
7.7 Does the SMS provide any
provision for the master to 4 / 5.1.1 /
conduct navigational audits 5.1.4 / 7 /
to ensure officers comply 12.1
with procedures?
7.8 Is chart supply contracted 5.1.4 / 7 /
with a recognized chart 12.1
agent?
7.9 Are there procedures to 5.1.4 / 7 /
ensure effective bridge 12.1
team management?
7.10 What kind of cargo does the 5.1.4 / 7 /
ship load? 12.1
7.11 Have cargo handling 5.1.4 / 7 /
operations been performed 12.1
7.12 Have pollution prevention 5.1.4 / 7 /
operations been performed 12.1
7.13 Have special operations 7
identified been performed
7.14 Risk management process
for navigational and marine
operations implemented
8.0 Emergency Preparedness
requirements of the
6.1.2
referring to
Manual/Procedures?

Rev. no.: 4 Document: 12.01.01-01
8.2 Has the company provided

the ship with updated 8.1 / 8.3
emergency contact list?
8.3 Is master familiar with the 6.1.2 / 6.5 /
procedures to respond 8.1 / 8.2
emergency situation
identified?
8.4 Have drills and exercise for 1.2.3.1 /
the emergency situations 5.1.1 / 5.1.4 /
identified been conducted 8.2
8.5 Are Drills being planned, 8.2
reviewed and recorded
according to procedures?
8.6 Are Drills and Emergency 8.2
Scenarios being carried out
at the correct frequency?
8.7 Are radio personnel aware
of how to transmit distress 8.1 / 8.2
alert under GMDSS?
8.8 Is SOPEP/SMPEP available
1.2.3.1
onboard the ship?
8.9 Have mandatory drills been 1.2.3.1 / 8.1 /
conducted regularly? 8.2
8.10 (Has the ship encountered a 6.1.3 / 8.1 /
sea casualty and/or serious 9.1 / 12.2
human injury since the last
periodical audit?)
8.11 Has the company given the 6.1.3 / 8.1 /
master necessary support 9.1 / 12.2
8.12 Have the responses and 6.1.3 / 8.1 /
actions been taken by ship 9.1 / 12.2
8.13 Has the SMS been reviewed 6.1.3 / 8.1 /
based on results of 9.1 / 12.2
investigation?
8.14 Ship-based and shore-
based contingency plans
clearly identify roles,
responsibilities and record-
keeping procedures.
8.15 Emergency procedures
include effective calling
systems and communication
links for alerting the
emergency-response team.
8.16 Are there documented
procedures describing
shore-based and shipboard
contingency plans?
8.17 The company provides
adequate emergency-

Rev. no.: 4 Document: 12.01.01-01
response facilities.
8.18 Individuals are trained in
their designated
emergency-response roles.
8.19 Does the company have a
system to provide a 24-
hour damage-stability and
structural-integrity
assessment service?
8.20 Lessons learnt from
exercises and incidents are
taken into account
regarding emergency-
response plans.
8.21 Are stand-ins are included
in the planned exercises
and drills?
8.22 Ares Stand-ins identified
and trained for key
positions in the response
team?
8.23 Has the company made all
the necessary arrangements
to use external resources in
an emergency?
8.24 Outside or additional
resources are used to
provide more realistic drills
and exercises.
9. Deficiency control
9.1 Is Master familiar with the 6.1.2
requirements of the
referring to
Manual/Procedures?
9.2 Were there any reports on If Yes, go to 9.5 up
NC, accident and hazardous to 9.7
12.2
occurrence which were sent
ashore?
9.3 Have the ship been If Yes, go to 9.5 up
controlled (regardless of to 9.7
12.2
detention or not) by PSC
since the last audit?
9.4 Have any deficiencies If Yes, go to 9.5 up
identified at inspections by to 9.7
the third parties, such as 12.2
charterers, P & I club and
etc, since the last audit?
9.5 Have all NCs, accidents and 5.1.1 / 5.1.4 /
hazardous occurrences 9.1
which are to be reported,
been sent ashore?

Rev. no.: 4 Document: 12.01.01-01
9.6 Has the company responded

4 / 9.1
to reported deficiencies?
9.7 Have corrective actions to
reported deficiencies been 9.2
taken?
10. Maintenance
requirements of the
6.1.2
referring to
Manual/Procedures?
10.2 Has maintenance for ship
and equipment been carried 5.1.5 / 10.1 /
out as per the plan 10.2.4
established?
10.3 Have maintenance works
5.1.5 / 10.1 /
performed been properly
10.2.4
recorded?
10.4 Have specific measures for
critical equipment/technical
system identified been 10.3
taken as per the
procedures?
10.5 Have weekly tests and
inspections for LSA been 1.2.3.1
carried out?
10.6 Have monthly inspections
for LSA been carried out 1.2.3.1
using the checklist?
10.7 Have inspections been
10.2.4
recorded properly?
10.8 Is there any technical 9.1 / 9.2 /
If Yes, go to 10.9 up
deficiency report which has 10.2.2 /
to 10.10
been sent ashore? 10.2.3
10.9 Has the company responded 9.1 / 9.2 /
to reported deficiency? 10.2.2 /
10.2.3
10.10 Have corrective actions to 9.1 / 9.2 /
reported deficiency been 10.2.2 /
taken? 10.2.3
10.11 Have deficiencies found
during shipboard tour been If Yes, go to 10.12
identified by any of the up to 10.15
crew members already?
10.12 Have these deficiencies 5.1.1/ 5.1.4 /
been reported ashore? 10.1.2
10.13 Has the company made any 4 / 10.1.2
response to the reported
deficiencies?
10.14 Are these defective items 5.1.1 / 5.1.4 /
being involved in the ship's 10.1 / 10.2.1
maintenance plan

Rev. no.: 4 Document: 12.01.01-01
established?
10.15 What was the result of the 5.1.1 / 5.1.4 /
last ship's regular inspection 10.1
for these defective items?
11. Document control
requirements of the
company’s SMS relating to
6.1.2
referring to
Manual/Procedures?
11.2 Is Vessel’s SMS system the
11.2.1
updated version?
11.3 Have revisions of the SMS
manuals been properly 11.2.2
recorded?
11.4 Have obsolete documents
11.2.3
been properly removed?
11.5 Are the SMS manuals
available at all relevant 11.2.1
locations?
11.6 Is modification to the SMS
manual being made in
compliance with
1.2.3.1
requirements of the ISM
Code and applicable rules
and regulations?
11.7 Have company’s circular
letters or information been
11.1
filed properly and easily
identified?
11.8 Have publications to be 1.2.3.1 /
provided under the 11.2.1
SMS/Flag states been
updated?
11.9 Have CFINs been 5.1.4
implemented on board?
12. Internal audit and System review
requirements of the
company’s SMS relating to
6.1.2
referring to
Manual/Procedures?
12.2 When has the last internal
12.1 / 12.3
audit been conducted?
12.3 Has internal audit been
conducted as per the 12.1 / 12.3
procedures?
12.4 Have internal audit records 12.5
been kept onboard the
ship?
12.5 Have ship’s key staffs been 12.5

Rev. no.: 4 Document: 12.01.01-01
aware of the result of the

internal audit?
12.6 Have non-conformities been 12.6
raised at the audit?
12.7 Have corrective actions for 12.6
the non-conformities
identified during the internal
audit been taken?
12.8 Has the company notified 12.5
the ship of the result of
management review?
Is the copy of valid DOC (Interim DOC cannot be accepted) placed onboard the ship?
Are there any objective evidences showing effective functioning of SMS onboard the ship for a
period of at least 3 months? (for Initial Audit only)

Internal ISM Audit Checklist

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Rev. no.: 4 Document: 12.01.

Retention time 60 months

No.: Item: Remark: Yes No N/A ISM:

Uncontrolled when printed

left unattended with their up to 10.15

Uncontrolled when printed

Country other than the

Uncontrolled when printed

0 monitored by the master?

Uncontrolled when printed

6. Resources and Personnel

Uncontrolled when printed

company's SMS relating to

Uncontrolled when printed

8.2 Has the company provided

Uncontrolled when printed

Uncontrolled when printed

9.6 Has the company responded

Uncontrolled when printed

Uncontrolled when printed

aware of the result of the

Uncontrolled when printed

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