Unit 5 Guidelines for Internal Audit of ISM Code: 5.2 IMO ISM Code: During Audit Process

Unit 5 Guidelines for Internal Audit of ISM Code

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

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Unit 5 Guidelines for Internal Audit of ISM Code

2. 5.2 IMO ISM Code: During Audit Process

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