Tidewater Marine East Region (ER)

Date Effective: 01 April 2018 Document No:

Title: INTERNAL ISM AUDIT CHECKLIST Rev: 00
Approved By: Regional Manager ER-TC-43

Facility/Vessel:       IMO Num:       Report      

Date:

OBJECTIVES References Comments

 The objectives of the Code are to ensure SOS Section 1.0      
safety at sea, prevention of human injury or SMS Section 1.0
loss of life, and avoidance of damage to the
environment, in particular, to the marine Latest issue of policy
environment, and to property. displayed in public place

 Safety management objectives of the Check Vessel Certificates

Company should, inter alia:
o provide for safe practices in ship Check the Area Annual HSE
operation and a safe working Plan objectives. Is it on
environment; board?
o assess all identified risks to its
ships, personnel and the
environment and establish
appropriate safeguards; and
o continuously improve safety
management skills of personnel
ashore and aboard ships, including
preparing for emergencies related
both to safety and environmental
protection.

 The safety management system should

ensure:
o compliance with mandatory rules
and regulations; and
o that applicable codes, guidelines,
and standards recommended by
the Organization, Administrations,
classification societies and
maritime industry organizations are
taken into account.

SAFETY AND ENVIRONMENTAL PROTECTION References Comments

POLICY
 The Company should establish a safety and SOS Section 2.0      
environmental protection policy which SMS Section 2.0
describes how the objectives, given in
paragraph 1.2, will be achieved. Policy Placard ER-TP-02
 The Company should ensure that the policy Posted in appropriate
is implemented and maintained at all levels areas(usually Bridge and
of the organization both ship-based as well Mess-room)
as shore-based.
Is a copy of policy on view in
mess room?

Are all crew aware of location

of policy?
 Tidewater Marine East Region (ER)
Date Effective: 01 April 2018 Document No:
Title: INTERNAL ISM AUDIT CHECKLIST Rev: 00
Approved By: Regional Manager ER-TC-43

Are crew aware of the policy

content – can they alert you
to some examples?

Can they show you the STOP

WORK OBLIGATION?

Are Safety Rules posted?

Do the crew understand what

Anti-Harassment and
Discrimination is?

COMPANY RESPONSIBILITIES AND AUTHORITY References Comments

 If the entity responsible for the operation of SOS Section 3.0      
the ship is other than the owner, then the SMS Section 3.0
owner must report the full name and details
of such entity to the Administration. Are crew aware of operating
 The Company should define and document company?
the responsibility, authority and interrelation
of all personnel who manage, perform and Are crew aware of location
verify work relating to and affecting safety and content of documentation
and pollution prevention. of responsibilities and
 The Company is responsible for ensuring authority?
that adequate resources and shore-based
support are provided to enable the
Can selected crew show you
designated person or persons to carry out
the organization chart? SMS
their functions.
Section 3.0-5
Does the crew feel the LADP
is available and carries out
their function?

DESIGNATED PERSON(S) References Comments

To ensure the safe operation of each ship and to SOS Section 4.0      
provide a link between the company and those on SMS Section 4.0
board, every Company, as appropriate, should
designate a person or persons ashore having direct Are crew aware of who the
access to the highest level of management. The Regional DPA is and how to
responsibility and authority of the designated person contact them?
or persons should include monitoring the safety and
pollution prevention aspects of the operation of each
Are crew aware of who the
ship and to ensure that adequate resources and
ADPA is and how to contact
shore based support are applied, as required.
them?

Are they familiar with his

role?

Are records available to

prove the efficiency of ship-
shore communications?

Details of ships requests for

shore support and evidence
of shore response?
 Tidewater Marine East Region (ER)
Date Effective: 01 April 2018 Document No:
Title: INTERNAL ISM AUDIT CHECKLIST Rev: 00
Approved By: Regional Manager ER-TC-43

Evidence re follow up and

close out of deficiencies and
actions to avoid recurrence
regarding com[any policy?

MASTER’S RESPONSIBILITY AND AUTHORITY References Comments

 The Company should clearly define and
document the Master’s responsibility with
regard to:
o implementing the safety and
environmental protection policy of
the Company;
o motivating the crew in the
observation of that policy;
o issuing appropriate orders and
instructions in a clear and simple
manner;
o verifying that specified
requirements are observed; and
o periodically reviewing the SMS and
reporting its deficiencies to the
shore based management.
 The Company should ensure that the SMS
operating on board the ship contains a clear
statement emphasizing the Master’s
authority. The Company should establish in
the SMS 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.
SOS Section 5.0      
SMS Section 5.0
Is master clear about their
responsibilities?
Can they show where they
are documented?
What actions are taken to
motivate crew in observation
of company policy?
Evidence that SMS is
reviewed (minimum annually)
and deficiencies / anomalies
reported? Masters
Management Review and
Environmental Standards and
Practices Checklist.
Awareness of overriding
authority of the masters re
company policy matters?
What does overriding
authority mean to them?

Evidence of Masters standing

orders? Using standard SMS
template and night orders in
use and signed off by
officers.

RESOURCES AND PERSONNEL References Comments

 Tidewater Marine East Region (ER)
Date Effective: 01 April 2018 Document No:
Title: INTERNAL ISM AUDIT CHECKLIST Rev: 00
Approved By: Regional Manager ER-TC-43

 The Company should ensure that the Master
is:
o properly qualified for command;
o fully conversant with the
Company's SMS; and
o given the necessary support so that
the Master's duties can be safely
performed.
 The Company should ensure that each ship
is:
o manned with qualified, certificated
and medically fit seafarers in
accordance with national and
international requirements; and
o appropriately manned in order to
encompass all aspects of
maintaining safe operations on
board.
 The Company should establish procedures
to ensure that new personnel and personnel
transferred to new assignments related to
safety and protection of the environment are
given proper familiarization with their duties.
Instructions that are essential to be provided
prior to sailing should be identified,
documented and given.
 The Company should ensure that all
personnel involved in the Company’s SMS
have an adequate understanding of relevant
rules, regulations, codes and guidelines.
SOS Section 6.0      
SMS Section 6.0
Check Master qualifications?
Check selected crew /
officers certificates?Do they
relate to their positions? Have
they got employment
agreements on them? Is
STCW training up to date and
valid?
Check selected crew medical
records. Are they valid? Is
there a seamans book or
valid CRA?
Have crew been shore
inducted?
Check induction / ship
orientation records. Sight
signed off document.
Signatures?Are the crew
familiar with the Minimum
Guidelines for New Hire or
Re-Hire Fleet Employees
Orientation form in the SOS
Appendices?
Initial abandon / fire drill for
new crew (24hrs) carried out?

 The Company should establish and maintain Safe Ops DVD training being
procedures for identifying any training that carried out and documented
may be required in support of the SMS and on WSM?
ensure that such training is provided for all
personnel concerned. Is there additional training
support ashore and any
 The Company should establish procedures additional training on board
by which the ship's personnel receive being documented in a
relevant information on the SMS in a Training Record Form?
working language or languages understood
by them. Crew aware of working
language of the ship? Can
 The Company should ensure that the ship's crew communicate in
personnel are able to communicate English?
effectively in the execution of their duties
related to the SMS. Can crew talk through their
duties and show you where
they are in the SOS?

Has the SSE program been

initiated for any new crew?
Has the SSE program been
Tidewater Marine East Region (ER)
Date Effective: 01 April 2018 Document No:
Title: INTERNAL ISM AUDIT CHECKLIST Rev: 00
Approved By: Regional Manager ER-TC-43

initiated properly, monitored

and closed by Operations?
Are new crew wearing green
hard hat?

Are crew familiar with the

company disciplinary
procedures?

Check the latest Captain and

Chief Engineer Handover
report for effectiveness.
Is training being completed
as per Annual Program of
Emergency Training Drills
and recorded on the WSM?

Are Behavior Observations

(Peer Review) and
Evaluations being completed
as required (annually or more
often)?

Check MLC documentation is

in place and being used
correctly, especially the
complaints procedure and
menu log. Does the crew
know the complaints
procedure?

Is the Ship Visitor Pass Log

Book in place? Did the
gangway watch show you the
emergency arrangements on
board when joining?

Where you requested ID

when boarding?

Find out when the last

contractor wason board and
see if they were inducted
DVD-8 mins?

Are cabins clean and tidy?

Is the galley clean and tidy?

Is the medical supplies

adequate, logged and
maintained in good order?

Is everyone dressed neatly,

in appropriate work attire and
 Tidewater Marine East Region (ER)
Date Effective: 01 April 2018 Document No:
Title: INTERNAL ISM AUDIT CHECKLIST Rev: 00
Approved By: Regional Manager ER-TC-43

representing the company

well?
SHIPBOARD OPERATIONS References Comments
The Company should establish procedures, plans SOS Section 7.0      
and instructions, including checklists as appropriate, SMS Section 7.0
for key shipboard operations concerning the safety of
the personnel, ship and protection of the Can the crew use the
environment. The various tasks should be defined electronic SOS/SMS to find
and assigned to qualified personnel. procedures? Is the latest
version icon on the ships
computer desktop?

Area crew familiar with TDW

Safe Systems of Work? Can
they show you where it is
electronically?

Check PTW, are all forms

completed and correct, are
associated RA/JSA’s,
Toolbox’s and Checklists
attached. Is a PTW register
maintained, is a LOTO
register maintained?

Check work tasks and follow

through to ensure ALL
documentation is being
completed and procedure
followed correctly.
 Autopilot approval
 Entering 500m zone
 Working weather side
 Passage Plan

Test crew understanding of

CSE. Are gas testers in use
and calibrated? Do crew
know how to use them?

Has the CO2 Room got the

appropriate Placard on the
door? Is the door locked? Do
crew know procedures to
enter?

Can crew show you where

the MOC procedure is and
have they used one?

Can the crew show you the

BBS Procedure Section 7.0?
Check BBS Cards for
effective use.
Tidewater Marine East Region (ER)
Date Effective: 01 April 2018 Document No:
Title: INTERNAL ISM AUDIT CHECKLIST Rev: 00
Approved By: Regional Manager ER-TC-43

Is there a Ship Specific

Hazard Register in place and
is it being reviewed monthly?

Check all Log Books

completed correctly. (Oil
Record Book, Garbage Log
Book, GMDSS Log Book,
Night Orders etc) as per log
book standards.

Are all crew wearing PPE as

required? Is there an
adequate stockpile on board?
Is it an approved type? Is the
cook wearing cut proof gloves
for all cutting? Is hygiene
being considered?

Are crew familiar with SWO

and Safety Rules?

Are Officers aware of DP

Code of Excellence and is it
Posted?

Are DP Health Checks being

completed?

When was the last DP

Supervisor on board?

Are Emergency Change-over

Controls procedures
displayed?

Are DP Officers only

spending two hours at a time
on the console? DP Manual.

What is the general state of

the ship, main deck, LSA
equipment and working
equipment?

Is the Rescue Boat being

used consistently? Can the
crew talk you through the
launch and recovery
process?

MARPOL Placard displayed

in Galley, Mess, Bridge, Main
Deck and Engine room as
designated by MARPOL
Annex 5 (Garbage) -
 Tidewater Marine East Region (ER)
Date Effective: 01 April 2018 Document No:
Title: INTERNAL ISM AUDIT CHECKLIST Rev: 00
Approved By: Regional Manager ER-TC-43

Equipment and
Arrangements, File M2,
Section 31

EMERGENCY PREPAREDNESS References Comments

 The Company should identify potential SOS Section 8.0      
emergency shipboard situations, and SMS Section 8.0
establish procedures to respond to them.
Can the crew show you
 The Company should establish programs for where the emergency
drills and exercises to prepare for procedures are? SOS / SMS
emergency actions. Section 8.0

 The SMS should provide for measures
ensuring that the Company's organization
can respond at any time to hazards,
accidents and emergency situations
involving its ships.
Ask crew to define their duty
as per the Station Bill? Is the
Station Bill posted?
Shore contact list available
and up to date?

Emergency Checklists
available in Hard Copy
laminated?

Are emergency drills carried

out and recorded? Deck Log
Book, Engine Room Log
Book, Official flag records
and WSM minutes.

Communication details?

Reporting requirements?

Can the crew advise how

they would request Shore
assistance?

Master / crew general

knowledge of emergency
situations?

Does the Master know the

appropriate sound signals for
emergency?

REPORTS AND ANALYSIS OF References Comments

NONCONFORMITIES, ACCIDENTS AND
HAZARDOUS OCCURENCES
 The SMS should include procedures SOS Section 9.0      
ensuring that nonconformities, accidents SMS Section 9.0
and hazardous situations are reported to the
Company, investigated and analyzed with Master / Safety Officer
the objective of improving safety and
 Tidewater Marine East Region (ER)
Date Effective: 01 April 2018 Document No:
Title: INTERNAL ISM AUDIT CHECKLIST Rev: 00
Approved By: Regional Manager ER-TC-43

pollution prevention. understanding of Incident,

 The Company should establish procedures
for the implementation of corrective action,
including measures intended to prevent
recurrence.
Illness, Near Miss reporting
requirements? They should
be able to describe recent
incidents and findings.
Are official Tidewater forms
used? Can the crew show
you how to find the reporting
forms electronically?

Content appropriate (cause

and circumstances, evidence,
documentation, immediate
action taken,
recommendations)

Evidence of company’s
response (investigation
reports, management review,
learning points)

Implementation of corrective
action and timely close out.

Are Non Conformances being

reported?

Are Near Miss Incidents

being reported?

Is there evidence of Near

Miss Incidents that have not
been reported?

Is there evidence that

Illness/Injury Vessel Incidents
are not being reported?

Are the crew comfortable to

report all incidents?

Are all Safety Alerts on board

and up to date?

How are close out actions

being documented and
tracked to close? Is the CAP
being used?

MAINTENANCE OF THE SHIP AND EQUIPMENT References Comments

 The Company should establish procedures SOS Section 10.0      
to ensure that the ship is maintained in SMS Section 10.0
conformity with the provisions of the relevant
rules and regulations and with any additional Is Planned Maintenance
 Tidewater Marine East Region (ER)
Date Effective: 01 April 2018 Document No:
Title: INTERNAL ISM AUDIT CHECKLIST Rev: 00
Approved By: Regional Manager ER-TC-43

requirements, which may be established by Manual Onboard? Are copies

the Company. being sent ashore Monthly?

 In meeting these requirements the Company Are Annual Technical

should ensure that: Inspections carried out? Is
report available onboard and
o inspections are held at appropriate are items closed?
intervals;
o any nonconformity is reported with Are copies of PMS (or NS5)
its possible cause, if known; records kept onboard?
o appropriate corrective action is
taken; and Are Testing of emergency
o records of these activities are and backup equipment
maintained. carried out? Records
available? (Fire pump,
 The Company should identify equipment emergency steering,
and technical systems the sudden emergency generator)
operational failure of which may result in
hazardous situations. The SMS should Lube Oil analysis records
provide for specific measures aimed at available?
promoting the reliability of such equipment
or system. These measures should include Is there a defect report in
the regular testing of stand-by arrangements existence and up to date?
and equipment or technical systems that are
not in continuous use. Is the Defect Report
submitted monthly?
 The inspections mentioned in 10.2 as well
as the measures referred to 10.3 should be Are defect items being closed
integrated in the ship's operational in a timely manner?
maintenance routine.
Is there engine start up
procedures available and
posted? Can all engineers
describe them?

Are there any outstanding

critical equipment items in
need of urgent attention?

Is the Standing Orders for

Engineers Officer of the
Watch in use? Is there only
one copy posted? Has it been
read, understood and signed
by officers?

Are oily water separator

instructions posted?

Is the SEEMP monthly

reports being sent to the
office?

Check Bunkering Checklist

 Tidewater Marine
Title: INTERNAL ISM AUDIT CHECKLIST
DOCUMENTATION
 The Company should establish and maintain
procedures to control all documents and
data, which are relevant to the SMS.
 The Company should ensure that:
o valid documents are available at all
relevant locations;
o changes to documents
reviewed and approved
authorized personnel; and
o obsolete documents are promptly
removed.
 The documents used to describe and
implement the SMS may be referred to as
the "Safety Management Manual".
Documentation should be kept in a form that
the Company considers most effective.
Each ship should carry on board all
documentation relevant to that ship.
East Region (ER)
Date Effective: 01 April 2018 Document No:
Rev: 00
Approved By: Regional Manager ER-TC-43
for accuracy and
completeness.
Are CEFR reports being
attended to in a timely
manner and Action items
closed?
Are engineers wearing bump
caps and PPE as required?
Is the Rescue Boat in good
working order and davit fully
operational?
Is the engine room clean and
tidy?
Is everything stowed correctly
and safely?
Are all hazardous goods
stowed in one location with
MSFDS sheets?
References Comments
SOS Section 11.0      
SMS Section 11.0
Is the latest Revision of the
electronic SMS on board?
Have all Hard Copies been
removed? Excluding VRB,
PMS, DP Manual (vessel
specific) Fire Fighting
are
Manual)
by
In checking documentation -
Be guided by the Forms and
Checklist Retention Guidance
Form.
Is the Ship Filing System in
place and being used
effectively? Check where
Archive documents are being
kept and are they being done
as per procedure?
Are Charts corrected and up
to date? Is ECDIS in use and
are corrections available? Are
officers trained in ECDIS and
ship specific ECDIS?
Are ALRS correct and up to
 Tidewater Marine East Region (ER)
Date Effective: 01 April 2018 Document No:
Title: INTERNAL ISM AUDIT CHECKLIST Rev: 00
Approved By: Regional Manager ER-TC-43

date?

Are AL lights correct and up

to date?

Is latest NTM available

onboard?

Are Flag state notices up to

date?

Are Stability calculations

records available?

SOPEP / SMPEP manual

available? Approved by
Class?

Bunkering procedure on
displayed?

IAMSAR Manual available?

Are obsolete documents

removed?

Are Publications current?

Check SMS library of books.

Is the Safety Bulletin Board

presented well and up to
date?

COMPANY VERIFICATION, REVIEW AND References Comments

EVALUATION
 Tidewater Marine East Region (ER)
Date Effective: 01 April 2018 Document No:
Title: INTERNAL ISM AUDIT CHECKLIST Rev: 00
Approved By: Regional Manager ER-TC-43

 The Company should carry out internal
safety audits on board and ashore at
intervals not exceeding twelve months to
verify whether safety and pollution-
prevention activities comply with the safety
management system. In exceptional
circumstances, this interval may be
exceeded by not more than three months.
 The Company should periodically verify
whether all those undertaking delegated
ISM-related tasks are acting in conformity
with the company’s responsibility under the
Code.
 The Company should periodically evaluate
the effectiveness of the SMS in accordance
with procedures established by the
Company.
 The audits and possible corrective actions
should be carried out in accordance with
documented procedures.
 Personnel carrying out audits should be
independent of the areas being audited
unless this is impracticable due to the size
and the nature of the Company.
 The results of the audits and reviews should
be brought to the attention of all personnel
having responsibility in the area involved.
SOS Section 12.0      
SMS Section 12.0
Is copy of last Annual Internal
ISM audit available onboard?
Has it been closed?
Are records maintained for
last 3 years? Be guided by
the Forms and Checklist
Retention Guidance Form.
Are all Non – Conformance
closed out with Corrective
Action Plan?
Has a Vanuatu Inspection
been completed?
Do the crew know where the
document is that allows them
to suggestion document
change or improvement
changes? ER-TF-13
Sight copy of last annual
management review doc.
Have CAP close outs been
verified by management?

 The management personnel responsible for

the area involvedshould take timely
corrective action on deficiencies found.