Unit 5 Guidelines for Internal Audit of ISM Code

Stránky:	IDEC TrainingCentre elearning
Kurz:	OPTIMISM Training Platform
Kniha:	Unit 5 Guidelines for Internal Audit of ISM Code

Vytiskl(a):	Utente ospite
Datum:	Čtvrtek, 9. dubna 2026, 21.21

Obsah

1. 5.1 IMO ISM Code: Before Audit Checklist
2. 5.2 IMO ISM Code: During Audit Process

1. 5.1 IMO ISM Code: Before Audit Checklist

The objectives of the IMO ISM Code are to ensure safety at sea, prevention of human injury or loss of life, and avoidance of damage to the environment, in particular, to the marine environment, and to property.

Before conducting the audit/inspection the following questions should be answered.

Has the company provided:

Procedures for safe practices in ship operation and a safe working environment; an assessment of all identified risks to its ships, personnel and the environment and establish appropriate safeguards?	Yes	No
A means for continuously improve safety management skills of personnel ashore and aboard ships, including preparing for emergencies related both to safety and environmental protection?	Yes	No
A verification system for ensuring compliance with mandatory rules and regulations?	Yes	No
A checklist that applicable instruments/codes, guidelines and standards recommended by the Organization, Administrations, classification societies and maritime industry organizations are taken into account?	Yes	No
A safety and environmental protection policy?	Yes	No
Instructions and procedures to ensure safe operation of ships and protection of the environment in compliance with relevant international and flag State legislation?	Yes	No
Defined levels of authority and lines of communication between, and amongst, shore and shipboard personnel?	Yes	No
Procedures for reporting accidents and non-conformities with the provisions of this Code?	Yes	No
Procedures to prepare for and respond to emergency situations?	Yes	No
Procedures for internal audits and management reviews?	Yes	No
Handover procedures	Yes	No

Has the company provided the:

List of ship’s crew members?	Yes	No
Details of the Designate Person(s)?	Yes	No
Details of minimum level manning/Safe Manning Document for the vessel?	Yes	No
List of all STCW certificates and medical fitness for each crew member including the Designated Person(s)?	Yes	No
Appraisal records of officers and ratings Document of Compliance (DOC) as per SOLAS Annex 1, MSC 1462, MEPC Circ. 817 ad Fal Circ. 177?	Yes	No
Safety Management Certificate (SMC)?	Yes	No
Is the SMC an Interim Certificate?	Yes	No
Is there an International Security Certificate?	Yes	No
Document / Letter copy to Flag delegating responsibility of ship management (where relevant), and do the details of ship management corelate with the details in the DOC and CSR? Addition requirements due to the type of ship or cargo?	Yes	No
A record of all its corrective actions?	Yes	No
A record of all preventive actions?	Yes	No

Depending on the ship type are the following certificates available:

International Noxious Liquid Substances (NLS) Certificate and IOPP (International Oil Pollution Prevention) Certificate?	Yes	No
International Air Pollution and Prevention (IAPP) Certificate?	Yes	No
Evidence for the requirements of MARPOL Dangerous Goods and Annex IV 4 Reg 5 MEPC Circ. 408?	Yes	No
Energy Efficiency Certificate(s)?	Yes	No
Passenger Ship Safety Certificate?	Yes	No
Special Trade Passenger Ship (STP/SSTP)?	Yes	No
Single Hull Tankers >15 years old Certificate of Compliance	Yes	No

With regard to maintenance requirements:

Is there evidence of an effective maintenance system?	Yes	No
Has the ship carried out 5 yearly CAS (Condition Assessment Scheme)	Yes	No
Carried out an Enhanced Survey Program (CAP)	Yes	No
Has all the maintenance Documents to date?	Yes	No

2. 5.2 IMO ISM Code: During Audit Process

Is there evidence of:

The Master having overriding authority for the safety of the crew, Ship and the environment	Yes	No
Are details of company organization chart, lines of communications, and job descriptions available?	Yes	No
Are Clear and simple set of instructions available to crew including officers e.g., Master's standing orders, night orders, Master's circulars, etc.?	Yes	No
SMS familiarization of the crew including officers	Yes	No
Motivation to follow SMS along with evidence with the aim of promoting motivation by organizing safety debates, lectures, competitions, presentation of safety awards etc.?	Yes	No
Review of previous audit reports, non-conformities, Accidents/incidents or hazardous occurrences?	Yes	No
Regular review of SMS and suggestions for changes to shore management?	Yes	No

Additional questions:

Has there been recent changes in ownership, flag State and classification society?	Yes	No
Is updated CSR available?	Yes	No
If yes, is company fully aware of implications associated with ISM Code and corresponding SMS requirements?	Yes	No

Could you also verify the following during the audit/inspection:

Are auditors’ report(s) on non-conformities, accidents and hazardous occurrences followed-up?	Yes	No
Are non-conformities clearly linked to ISM Code requirements and the SMS?	Yes	No
Are relevant Conventions, Regulations, Codes, Standards and Industry Guidance available on the ship, or can be accessed digitally?	Yes	No
Does the ship’s SMS have a maintenance routine, which includes the testing of stand by equipment and critical equipment/systems, and are records available?	Yes	No
Are records of risk assessments and appropriate safeguards available?	Yes	No
Are procedures/records of how the company deals with request for resources available?	Yes	No
Is relevant documentation regarding the SMS in a working language understood by crewmembers?	Yes	No
Are program and records for drills and exercises to prepare for emergency actions available?	Yes	No
Are introduction/familiarization procedures for crewmembers carried out in accordance with documented procedures?	Yes	No
Are crewmembers able to communicate effectively in the execution of their duties related to SMS?	Yes	No
Is there evidence of repetitive observations or non-conformities from previous ISM Code audits?	Yes	No
And have these been considered at safety committee meetings and SMS review?	Yes	No
Does the company keep the Safety Management documentation on board?	Yes	No
Is there evidence that the master has carried out the review of the SMS?	Yes	No
Can senior officers identify the “designated person” responsible for the operation of the ship and the means to contact that person?	Yes	No
Have the procedures for establishing contact with shore management in an emergency been tested?	Yes	No
Are emergency plans/procedure available on board, along with evidence of shore-based company emergency response and contract with ERS?	Yes	No
Are records of inspections, condition and maintenance reports available?	Yes	No
Are records to tests, sample analysis, calibration records, outcomes of routine checks, completed checklists, etc., available?	Yes	No
Are records available related to amendments, upkeeping, retrieval, storage and destruction of documents?	Yes	No
Does the company consider that the incident and accident assessors including investigation agencies should standardize their reporting system and focus on human performance?	Yes	No

Do you apply any of the KPIs listed below when assessing/monitoring the ISM Code

implementation?

(The list of KPIs below is not exhaustive and other relevant KPIs may also be considered).

The number of non-conformities identified during ISM audits.	Yes	No
The number of accidents and incidents involving ships registered with the Administration implementing the ISM Code.	Yes	No
The number of accidents and incidents attributable to human error.	Yes	No
The percentage of ships holding valid SMS certificates.	Yes	No
The number of inspections carried out by the Administration.	Yes	No
The number of deficiencies identified during SMS verification.	Yes	No
The number of accidents and incidents involving ships with valid SMS certificates.	Yes	No