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COMPANY OFFICE AUDIT CHECKLIST

under the provisions of the ISM Code as amended
Audit No.

Name of Company

Audit: Initial Renewal Annual Additional Interim

Item No. means No. of the ISM Code requirement. Items 1 and 2 are to be filled in at the end of the audit.

1 OBJECTIVES AND FUNCTIONAL REQUIREMENTS

1.1 Achieved objectives:
.1 safe practices in ship operation and a safe working environment
.2. safeguards against all identified risks
.3 continuous improvement of safety management skills of personnel ashore and aboard, including
preparing for emergency situations
1.2 Compliance with mandatory rules, regulations, applicable codes, guidelines and standards recommended
by the IMO, Administrations, classification societies and maritime industry organizations
1.3 Completion of functional requirements:
.1 establishment of a safety and environmental protection policy
.2 procedures and instructions to ensure safe operation of ships and protection of the environment
.3 establishment of authority levels and communication lines between, and amongst ashore and aboard
personnel
.4 procedures for reporting accidents and non-conformities
.5 procedures to prepare for and respond to emergency situations
.6 procedures for internal audits, reviews and evaluations

2 POLICY
2.1 Declaration describing how the objectives specified in 1.2.2 will be achieved
2.2 Implementation and maintenance of the policy at all levels in the Company, including ships

3 COMPANY RESPONSIBILITIES AND AUTHORITIES

3.1 Control of all subcontracted activities (crewing, maintenance of ships):
report to the Administration with full name and details of the operator responsible for ships,
operator reports
3.2 Identification of responsibilities, authorities and interrelations of all personnel ashore and aboard:
job descriptions, diagrammatic charts
3.3 Adequate resources and shore based support for designated persons to carry out their duties

4 DESIGNATED PERSON
4.1 Authorities and responsibilities, including monitoring of ships and direct access to the highest level
of management:
job descriptions, organizational structure
4.2 Monitoring of ships:
reports, verification of accident reports, evidences that recommendations are taken into account by the
management

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5 MASTER
5.1 Responsibilities with regard to implementing the policy, motivating the crew, verifying that specified
requirements are observed, reviewing the SMS and reporting deficiencies:
job descriptions, organizational structure
5.2 Overriding authorities and responsibilities with regard to make decisions on safety and pollution
prevention and to request Company assistance as necessary:
statements in ship SMS

6 PERSONNEL
6.1 Master qualifications for command, conversance with the SMS and adequate resources and shore based
support to carry out their duties (STCW’95 Reg. I/14.1.1):
certificates, experience data, procedures
6.2 Qualifications in accordance with national/international requirements (STCW’95 Reg. I/14.1.1 -.3):
qualification and health certificates register
6.3 Personnel familiarisation with their duties (STCW’95 Reg. I/14.1.4):
job descriptions, procedures for new/transferred persons, safety instructions prior to sailing for all crew
members
6.4 Personnel understanding of relevant rules, regulations, codes and guidelines:
training certificates
6.5 Training:
procedures for identifying any training needs, training program and its realization records
6.6 Information on the SMS:
procedures, guide-books and instructions in working languages
6.7 Personnel conversance with working languages (STCW’95 Reg. I/14.1.4):
list of tests

7 SHIPBOARD OPERATIONS
7.1 Identification of shipboard operations (e.g. passage planning, loading, discharging, pollution prevention,
navigation on confined waters):
procedures, plans and instructions
7.2 Identification and assignation of relevant tasks to qualified personnel:
job descriptions

8 EMERGENCY PREPAREDNESS
8.1 Identification of potential emergency shipboard situations for each ship type and trade
e.g. heavy water damage, grounding, fire, entry into confined space, bunker/cargo spillage, man
overboard, abandon ship, serious injury:
procedures, plans and instructions, including approved SOPEP for each ship

8.2 Drills and exercises to prepare for emergency situations (STCW’95 Reg. I/14.1.5):
programs and records of realization
8.3 Measures to respond at any time to hazards, accidents and emergency situations on ships:
list of 24 hours contacts to shore

9 NON-CONFORMITIES, ACCIDENTS AND HAZARDOUS OCCURRANCES

9.1 Non-conformities, accidents and hazardous situations:
procedures, reports to the Company, records of analyses and investigation
9.2 Implementation of corrective actions:
procedures, records of corrective actions

10 MAINTENANCE OF SHIP
10.1 Maintenance of ships in conformity with the provisions of the relevant rules, regulations and with
additional requirements set up by the Company:
procedures, instructions, maintenance plans
10.2 Periodical inspections, non-conformities and corrective actions:
programs, reports, records
10.3 Identification of equipment and technical systems, the sudden operational failure of which may result
in hazardous situations:
procedures, instructions, reports of periodical tests

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10.4 Measures aimed at enhancing the reliability of equipment including the regular testing of stand-by
arrangements and equipment or technical systems that are not in continuous use:
maintenance plans, reports of periodical tests

11 DOCUMENTATION
11.1 Procedures to control of all documents and data
11.2 Valid documents are available at all relevant locations, changes to documents are reviewed and
approved by authorized personnel and obsolete documents are removed:
records of periodical verification
11.3 Safety Management Manual is updated

12 COMPANY VERRIFICATION, REVIEW AND EVALUATION

12.1 Internal audits:
procedures, plans, reports
12.2 Periodical reviews and evaluations of SMS:
procedures, reports, records of analysis and investigations
12.3 Audits and possible corrective actions are carried out in accordance with documented procedures
12.4 Personnel carrying out audits is independent of the areas being audited, unless this is impracticable due
to the size and the nature of the Company
12.5 Results of audits are brought to the attention of all personnel responsible for the area involved:
audit reports distribution
12.6 Corrective actions are taken timely by management personnel responsible for the area involved:
procedures, records of corrective actions

13 CERTIFICATION
13.1 All ship types operated by the Company are listed in DOC:
register of ships
13.2 Each ship carries on board a copy of DOC, an original of SMC and other documents:
evidences

14 REMARKS

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Explanations: X –Yes R – Remarks

– – No NA – Not applicable

Sent to HO –

,
Place, date Signature

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