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 ISM Code Certification
Document to be used for reporting the audit of the company ( DOC )

Company

Type of audit : Initial Periodical Renewal Additional

DOC issued on : Ship’s types cover by the DOC :

Expiring date :

N° Department audited Contacted person and position

1

3
4

Conclusions of the audit : Individual non-conformity report must be attached to this document

Report N° Place : Date :

Auditor name and signature :

 ISM Code Certification
Document to be used for reporting the audit of the company ( DOC )

1) Status of the pending non-conformity (ies)

2) New Non-conformity (ies) issued during the present audit

3) Suggestions from auditees to improve the SMS

 ISM Code Certification
Check list to be used during the audit of the company ( DOC ).
This document must be attached to the report.
Department
Par.
audited Rem.
of the Element of the ISM Code N°
code 1 2 3 4

1 Objectives

The objectives of the ISM C ode and SMS are understood by the
management and key personnel

2 Safety & Environmental Policy

The health, safety & environmental protection policies are signed

by the company’s chief executive or other senior executive officer

The safety & environmental protection policies are reviewed at

regular intervals

The safety & environmental protection policies are posted in

the offices

All ships of the fleet have been involved

 ISM Code Certification
Check list to be used during the audit of the company ( DOC ).
This document must be attached to the report.
Department
Par.
audited Rem.
of the Element of the ISM Code N°
code 1 2 3 4

3 Company Responsibilities and Authority

The owner has reported to the Administration and to the Society

the entity responsible for the operation of the ships

The Administration has been provided with the name, address,

telephone, fax and telex numbers of the company

Responsibility, authority and interrelation of key persons managing,

performing and verifying work relating and affecting the SMS are
defined and documented

An updated company organizational chart is available

The updated telephone numbers of the DPA(s) and their back up

are available to the interested persons ashore and on board

The following activities are subcontracted to :

(use bottom part of this page if necessary)

The company maintains the subcontracted activities under control

( specify the system adopted - use bottom part of this page
if necessary )

Responsibility and authority of masters, chief engineers and

other shipboard key persons are defined and documented

A procedure has been established to provide the DPA(s) the

possibility to ask for resources and shore based support to
the company’s management
 ISM Code Certification
Check list to be used during the audit of the company ( DOC ).
This document must be attached to the report.
Department
Par.
audited Rem.
of the Element of the ISM Code N°
code 1 2 3 4

4 Designated person (s) - DPA

There are designated by :
And the number of them are :
(use bottom part of this page if necessary)

The DPA (s) belong to the company staff

The organization of the company ensure direct assess to the

highest management level

The continuous availability of the DPA (s) is ensured

The results of safety and antipollution audits and inspections

are reported to the DPA (s)

Requests from ships for resources and shore based support

are supervised by the DPA (s)s
 ISM Code Certification
Check list to be used during the audit of the company ( DOC ).
This document must be attached to the report.
Department
Par.
audited Rem.
of the Element of the ISM Code N°
code 1 2 3 4

5 Master’s Responsibility and authority

The master’s role in the implementation of the safety and

environmental protection policy of the company is clearly defined

The elements of IMO resolution A.443 (XI) are incorporated in

the SMS

The policy is correctly implemented

(provisions of the SMS are followed)

Documentation of the specific duties delegated to the officers

under the master’s command are provided to the master by
the company

Appropriate orders and instructions are issued

(standing orders, night orders, etc)

The master reviews the SMS and reports to the company any
deficiency ( e.g. the review is made during safety meetings)

The company shore based management system allows

for the master’s overriding authority and responsibility

The crew is motivated ( e.g. by the means of meetings with the

crew, instruction of the crewmembers at embarkation, etc)
 ISM Code Certification
Check list to be used during the audit of the company ( DOC ).
This document must be attached to the report.
Department
Par.
audited Rem.
of the Element of the ISM Code N°
code 1 2 3 4

6 Resources & Personnel

Crew is selected by the company/by the manning agent……….
Criteria are fixed to ensure that seafarers are qualified (STCW)
and medically fit periodically and at embarkation

Ship’s officers are employees of the company

Ship’s crew are employees of the company

Information, appraisal and qualification records of shipboard

personnel are available

Each person employed on board is in possession of a medical

examination certificate attesting the medical fitness for duty
(place of examination and validity no more than two years)

Drug and alcohol tests file is provided

Performance bonus to the shipboard personnel has been

assigned last year

Vessel and duties introduction and familiarization training is

Accordance with section A-I/6 of the STCW Code for on-coming
officers and crew are documented
Familiarization procedures exist (e.g. overlapping, tutorial training,
written handing over procedures, briefing at embarkation,…..
concerning safety and operational aspects

Adequate understanding of rules & codes for the personnel

involved in the SMS is ensured. Any training required is identified

Senior officers read and understand the SMS manual and

other communications from the company

Shipboard working language has been established

( knowledge of English is required for senior officers)
 ISM Code Certification
Check list to be used during the audit of the company ( DOC ).
This document must be attached to the report.
Department
Par.
audited Rem.
of the Element of the ISM Code N°
code 1 2 3 4

7 Development of Pans for Shipboard operation

A procedure exists for the preparation of plans and instructions

for keyboard operations

A master’s port arrival/departure safety check list incorporating

pre-established company policy guidelines for go/no go situations
and reporting requirements for the master is included in the SMS

8 Emergency preparedness

The emergency plans are periodically reviewed, updated and

amended

The emergency plans are approved by the Administration

The identification of the emergency situations is made

from previous experience and from analysis of accidents
and near misses
The maritime regulation requirement for weekly emergency drills
and training sessions as well as for lowering of each lifeboat
to the water every 3 months are complied with
SOPE (or VRP) approved plans are available for each ship
(company contact is always available, office organization
is foreseen)
 ISM Code Certification
Check list to be used during the audit of the company ( DOC ).
This document must be attached to the report.
Department
Par.
audited Rem.
of the Element of the ISM Code N°
code 1 2 3 4

Report & Analysis of Non-conformities,

9 Accidents & Hazardous Occurrences

Procedures exist for the reporting & analysis of Non-conformities,

Accidents & Hazardous Occurrences

Procedures exist for the implementation of corrective action

(e.g. request of corrective action from company with copy to DPA
and verification during the next internal audit)

Procedures exist for immediately reporting Port State detention

to the Administration

The communication and reporting procedures specified in the

SMS documents have been adopted

Communications and reports are filed

The following ships had accidents or occurred in hazardous situations

since the previous audit :
 ISM Code Certification
Check list to be used during the audit of the company ( DOC ).
This document must be attached to the report.
Department
Par.
audited Rem.
of the Element of the ISM Code N°
code 1 2 3 4

10 Maintenance of the Ship and Equipment

The maintenance system includes systematic plans and actions
designed to address all those items and systems covered by class
and statutory survey
Records of inspections and maintenance are available.
Communications from ships concerning the implementation of
corrective action are filed

Intervals for maintenance and inspections are established and

observed

Periodic functional tests of the stand-by arrangements, equipment

and systems that are not in continuous use are carried out

Communication is given to the concerned DPA of non-conformities

with possible causes

Evaluation is made if corrective action is to be taken by the crew

or if support from shore is needed

Date of last company’s inspections to the ships

Ship name : Date :

 ISM Code Certification
Check list to be used during the audit of the company ( DOC ).
This document must be attached to the report.
Department
Par.
audited Rem.
of the Element of the ISM Code N°
code 1 2 3 4

11 Documentation
The updated SMS documents ( SMS manual, Company manual
and Circular letters) are available as specified by
the relevant distribution list

Periodic verification of the documents kept in files is foressen

Obsolete documents are disposed of

A list of valid circular letters is available

Mandatory rules, regulations and the relevant list are available

Applicable codes, guidelines, standards and the relevant list

are available

The IMO resolution A.443(XI)- Decision of the shipmasters with

regard to Maritime Safety and Marine Environmental Protection-
is available
The IMO resolution A.742(18)- Procedures for the control of
Operational Requirements related to the Safety of ships and
Pollution Prevention- is available
The following documents and relevant index are available:
Manual, drawings & user’s manuals. Manuals, documents &
Instructions requested by compulsory requirements
The following records are maintained and properly filed:
Master/chief engineer reports at signing off,
Inspection and maintenance reports
Fuel and lube oil analysis reports
Spare parts and material supply
Work list
Correspondence with ships

Ship’s certificates are in due course of validity (have been examined)

Ship name : Date :

 ISM Code Certification
Check list to be used during the audit of the company ( DOC ).
This document must be attached to the report.
Department
Par.
audited Rem.
of the Element of the ISM Code N°
code 1 2 3 4

12 Company Verification, Review and Evaluation

Internal audits are conducted by the company at least annually on
each department as well as on each vessel to verify compliance
of the SMS to the stated objectives of the ISM Code

The auditors belong to the company’s staff or to

an external organization

The audit report is handed over to the person responsible for

the area involved

The responsible of the area involved, when the agreed corrective

actions are implemented, communicates it to the auditor

The audits are performed on the basis of a check list

Both for the audit report and for requiring corrective action,
appropriate forms are foreseen

A review of the adequacy of the SMS is carried out annually by

the company management. The minutes of the review meeting
are available

Date of the last office’s audit

Department : Date :

Date of the last ship’s audit

Ship : Date :