Unit 5 Guidelines for Internal Audit of ISM Code: 5.1 IMO ISM Code: Before Audit Checklist

Unit 5 Guidelines for Internal Audit of ISM Code

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

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Unit 5 Guidelines for Internal Audit of ISM Code

1. 5.1 IMO ISM Code: Before Audit Checklist

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