Checklist for SMS Manual for Initial Audit

Name of Company :
Title & Rev.No. of Manual : Retention period of this record is 5 years.
Date of Check :
Auditor in Charge :

No Items to be checked Check Code Remark

① Level 1（ First steps to be verified） （ Auiditors shall request corrective actions to a Company when SMM does not fulfill the requirements of the ISM Code ）
② Level 2（ Second steps to be verified） （ Are details of Manual and procedures adequately corresponding to the requirements of the ISM Code ）

1.General
1.1.1 Type of ships under management has been specified? 13.3
1.1.2 Outline of the Company and a brief description of its business activities NK
1. the Organization
2. Location of all offices
3. Number of employees (shore-based persons and seafarers) of the Company
4. the Types of ships , Flag state(s), and Number of ships
5. Summary of the principal cargoes
6. Trade routes of the ships
1.1.3 Additional explanatory documents
1. the relationship among the Company , the Ships and the Crew members
2. Outlines of chartering and management contracts for the ships

1.2 Does the SMS Manual mention the objectives of the Code are to ensure safety at sea, prevention of human injury or loss of life, 1.2.1
and avoidance of damage to the environment?
1.3 Safety Management objective of the Company should, 1.2.2
1 provide for safe practices in ship operation and a safe working environment
2 assess all risks to its ships, personnel and the environment and establish appropriate safeguards
3 continuously improve safety-management skills of personnel, including preparing for emergecies
1.4 SMS ensures that; 1.2.3
1 compliance with the mandatory rules and regulations? 1.2.3.1
2 Applicable codes, guidelines and stanadards are taken into account？ 1.2.3.2

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No Items to be checked Check Code Remark
① Level 1（ First steps to be verified） （ Auiditors shall request corrective actions to a Company when SMM does not fulfill the requirements of the ISM Code ）
② Level 2（ Second steps to be verified） （ Are details of Manual and procedures adequately corresponding to the requirements of the ISM Code ）

2. SAFETY AND ENVIRONMENTAL PROTECTION POLICY

2.1 Safety and Environmental Protection Policy has been established? 2
2.1 Policy or SMS manual describes how to achieve the objectives given in paragraph 1.2 of the ISM Code? 2.1
2.1.1 How to achieve safe practices in ship operation and a safe working environment.
2.1.2 How to assess all identified risks to its ships, personnel and the environment and establish appropriate safeguards.
2.1.3 How to continuously improve safety-management skills of personnel ashore and aboard ships, including preparing for
emergencies related both to safety and environmental protection.
2.2 Does the Company ensure Policy is implemented and maintained at all levels of the organization？ 2.2
2.3 Signature of top management and date are indicated on the Policy？ NK

3. COMPANY RESPONSIBILITY AND AUTHORITY

3.1 The responsibility, authority and interrelation of all personnel have been defined and documented? 3.2
3.1.1 The responsibility and authority of shore personnel/personnel onboard defined?
3.1.2 Organization chart to indicate interrelation of all personnel are established?
3.1.3 Are there consistency between [organization chart] and [documented responsibilitie and authority] ？
3.2 The company's responsibility 3.3
ensuring that adequate resources and shore-based support are provided to enable the DPA to carry out their function?
3-a all organization units(such as ERT, MRMeeting) are described on the organization chart ?

4. Designated Person(s) 4
4.1 To ensure the safe operaion of each ship and to provide a link between the company and those on board,
Designated Persons Ashore(DPA) have direct access to top management?
4.2 Is responsibility and authority including monitoring the safety and pollution-prevention aspects of the operation of each ship"?
4.3 And ensuring that adeqate resouces and shore-based support to ships are applied, as required?
4-a Is it ensured that DPA has appropriate knowledge and experience ? MSC-MEPC.7/Circ.6

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No Items to be checked Check Code Remark
① Level 1（ First steps to be verified） （ Auiditors shall request corrective actions to a Company when SMM does not fulfill the requirements of the ISM Code ）
② Level 2（ Second steps to be verified） （ Are details of Manual and procedures adequately corresponding to the requirements of the ISM Code ）

5. Master's responsibilities and authority

5.1 Are the following responsibilities and authority defined and documented? 5.1
5.1.1 implementing the safety and environmental-protection Policy of the Company
5.1.2 motivating the crew in the observation of that Policy
5.1.3 issuing appropriate orders and instruction in a clear and simple manner
5.1.4 verifing that specified requirements are observed
5.1.5 periodically reviewing the SMS and reporting its deficiencies to the shore-based management.
5.2 Following Master's authority are established in the SMS? 5.2
5.2.1 Overriding Authority
5.2.2 to request the Company's assistance as may be necessary

6. RESOURCES AND PERSONNEL

6.1 The Company should ensure that the master is: 6.1
6.1.1 properly qualified for command
6.1.2 fully conversant with the Company's SMS
6.1.3 given the necessary support so that the Master's duties can be safely performed
6.2 Procedures to ensure that each ship is manned with qualified,certified and medically fit seafarers as per requirements? 6.2.1
Procedures to ensure that each ship is manned in order to encompass all aspects of maintaining safe operation on board? 6.2.2 Resolution A.1047(27)
6.3 Procedures to ensure proper familiarization for new personnel and peronnel transffered to new assignment? 6.3
Procedures for providing "essential instructions"to newly joining crew prior to sailing ?
6.4 Procedures to ensure all personnel have an adquate understanding of relevant rules, regulations, codes and guidelines ? 6.4
6.5 Procedures for identifying any training which may be required in support of the SMS ? 6.5
Procedures to ensure such training is provided for all personnel concerned ?

6.6 Procedures by which the ship's personnel receive relevsnt information on the SMS in a working language or languages 6.6
understood by them?
6.7 Procedures to ensure that ship's personnel are able to communicate effecitvely in the execution of their duties? 6.7

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No Items to be checked Check Code Remark
① Level 1（ First steps to be verified） （ Auiditors shall request corrective actions to a Company when SMM does not fulfill the requirements of the ISM Code ）
② Level 2（ Second steps to be verified） （ Are details of Manual and procedures adequately corresponding to the requirements of the ISM Code ）
6-a Criteria for assignment of Master ?
6-b Procedures for controlling manning activities which have been subcontracted?
6-c Working language onboard has been defined?

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No Items to be checked Check Code Remark
① Level 1（ First steps to be verified） （ Auiditors shall request corrective actions to a Company when SMM does not fulfill the requirements of the ISM Code ）
② Level 2（ Second steps to be verified） （ Are details of Manual and procedures adequately corresponding to the requirements of the ISM Code ）

7. SHIPBOARD OPERATIONS
7.1 Procedures to prepare plans and instructions for key shipboard operations ?
7.2 Following procedures have been established ?
7.2.1 Preparartion for sea / Peparation for arrival
7.2.2 Entering port / Leaving port
7.2.2.1 Anchoring operation
7.2.3 Watchkeeping at sea ；Principles in keeping watch, Watch arrangement, Taking over the watch etc.
7.2.4 Watchkeeping in port ;Principles in keeping watch, Watch arrangement,Taking over the watch etc.
7.2.5 Chart Correction/up date of nautical publications
7.2.6 Daily Report (SOLAS V28)
7.2.7 Special and/or Critical Operations" like a rough sea / restricted visibility/narrow watter
7.2.8 Voyage planning (SOLAS V/34 & Re.A.893(21), STCW A-VIII/2, Part 2)
7.2.9 Procedure and guidance for ECDIS handling
7.2.10 Procedure for BNWAS operation
7.2.11 Procedure for discharge of Ballast water (relation to Ballate Water Management Convention)
7.3 Procedures to avoide excessive fatigue onboard accoding to STCW A-VIII/1- Fitness for duty & MLC 2006
7.4 Procedures for Pollution Prevention ; Treatment of Bilge /Sludge, Garbage Management,Ballast Water, Bunkering etc.
7.5 Change-over procedure from high sulfer fuel oil (HSFO) to low sulfer fuel oil - SOx Emission Control Area (SECA), if applicabe.
7.6 Procedures for Safe working practice ; Hot Work, Work in enclosed space, Gas freeing etc.
7.7 Cargo Handling Procedures have been established ? （Type of Ship：OT*/BC*/GC*/CT*/OC*/MODU*/PS*）
7.8 "Other Cargo Ship" ; Appropriate cargo handling procedures for the purpose of ship have been established?
7.9 *Bulk carrier
1) Procedures for cargo and ballast operation for Bulk carrier have been incorporated?(BLU Code(IMO Res.862(20)/ SOLAS VI/7)
2) Procedures for the safe stowage and shipment of solid bulk cargoes excluding grain (IMSBC Code as defined in regulation VI/1.1)
7.10 Responding Procedures for Cargo accident have been established ?
7.11 Procedure for Emergency towing has been provieded for the applicalbe ship(SOLAS II-1/Reg.3-4, MSC.1/Circ.1255)
7.12 Communication Procedures between company and ship have been established ?
7.13 Procedures for RISK MANAGEMENT have been established?
7-a Pilotage
7-b Helicopter operations

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No Items to be checked Check Code Remark
① Level 1（ First steps to be verified） （ Auiditors shall request corrective actions to a Company when SMM does not fulfill the requirements of the ISM Code ）
② Level 2（ Second steps to be verified） （ Are details of Manual and procedures adequately corresponding to the requirements of the ISM Code ）
7-c Alcohol and other drug policies and procedures

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No Items to be checked Check Code Remark
① Level 1（ First steps to be verified） （ Auiditors shall request corrective actions to a Company when SMM does not fulfill the requirements of the ISM Code ）
② Level 2（ Second steps to be verified） （ Are details of Manual and procedures adequately corresponding to the requirements of the ISM Code ）

8. Emergency Preparedness
8.1 Potential emergency situations have been identified and described ? 8.1
8.2 Shoreside procedures for responding identified emergency situations have been established ? 8.1
8.3 Programmes for drills and exercises ashore have been established ? 8.2
8.4 Procedures or plan for responding emergencies onboard ? 8.3
8.5 Organization of the Company can respond to emergencies around the clock ? 8.3
8.6 Programmes for drills and exercises onboard have been established ? 8.2
8.7 FOR ENTERING ENCLOSED SPACES ABOARD SHIPS Resolution A.1050(27)
8.8 Plans and procedures for recovery of persons from the water/Guidelines for the development of plans and procedures for recovery of
persons from the water SOLAS Reg.III/17-1
8-a Communication method and/or flow chart to be used on board in emergencies
8-b Communication route to the Company and outside parties ?
8-c Procedures for mobilizing the ERT？
8-d Procedures for dealing with the media
8-e Procedures or programs for shipboard drills/trainings prescribed by SOLAS and national regulations ?
Trainings to be provided within 2 weeks after joining
Fire Drill/Abandon Ship Drill/Rescue drill/Emergency Steering
Enclosed space entry and rescue drills SOLAS III.19

９. REPORTS AND ANALYSIS OF NON-CONFORMITIES, ACCIDENTS AND HAZARDOUS OCCURRENCES

9.1 Deficiencies (NC, Accident and Hazardous Occurences) defiened clealy ? 9.1
9.2 Procedures for reporting deficiencies onboard to Company? 9.1
9.3 Procedures for reporting deficiencies ashore to DPA? 9.1
9.4 Procedures for the investigation and analysis of deficiencies ? 9.2
9.5 Procedures for the implementation of corrective action including measures intended to prevent recurrence? 9.2
9-a Procedures for preventing recurrence of deficiencies ?
9-b Procedures for controlling deficiencies defined during Internal Audits ?
9-c Procedures for controlling deficiencies pointed out by PSCO ?
9-d Procedures for reviewing the SMS in relation with deficiencies ?

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No Items to be checked Check Code Remark
① Level 1（ First steps to be verified） （ Auiditors shall request corrective actions to a Company when SMM does not fulfill the requirements of the ISM Code ）
② Level 2（ Second steps to be verified） （ Are details of Manual and procedures adequately corresponding to the requirements of the ISM Code ）

10. MAINTENANCE OF THE SHIP AND EQUIPMENT

10.1 Procedures for ensuring the ship is maintained in conformity with the relavant rules and regulations ? 10.1
10.2 The Company ensured that ; 10.2
10.2.1 inspections are held at appropriate intervals?
10.2.2 Any NC (Technical Deficiencies) is reported with its possible cause ?
10.2.3 appropriate corrective action is taken ?
10.2.4 records of these activities are maintained ?
10.3 Identified equipment and systems the sudden operational failure of which may result in hazardous situations ? 10.3
10.4 Specific measures for such equipment and systems to promote reliability are provided ? 10.3
10.5 These measures include the regular testing of stand-by arrangement ? 10.3
10.6 These measures include the regular testing of equipment or systems that are not in cotinuous use ? 10.3
10.7 inspections and specific measures mentioned in （10.2 to 10.6）are integrated into the ship's maintenance routine? 10.4
10.8 Does the maintenance plan for Bulk carrier Hatch cover comply with MSC 169(79)? - SOLAS XII/7.2 10.4
10-a Are Maintenance and Inspection plans approved by the Company ?

11.DOCUMENTATION
11.1 Procedures for controlling Documents including following contents ?
11.1.1 Identfication of Safety Managemnt Documents(documents to be controlled) 11.1
11.1.2 Identification of Safety management Records;List of Records,Responsible Personnel.Retention Period etc. 11.1
11.1.3 Identification of Safety Managemnt Books and Publications; list of documents to be provided on ashore 11.1
and onboard/up-dating etc. 11.1
11.1.4 Controlling S.M.Documents;Distribution, Location,Receipt
11.1.5 Establishment, Revision,Abolition of S.M.Documents. Who can approve ? 11.1
11.1.6 Controlling of obsolete documents 11.1/2
11-a Manual and Procedures are adequate for the type of ships under management? 11.2
11-b Easy cross reference of relevant section between Manual and Procedures is avairable ?

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No Items to be checked Check Code Remark
① Level 1（ First steps to be verified） （ Auiditors shall request corrective actions to a Company when SMM does not fulfill the requirements of the ISM Code ）
② Level 2（ Second steps to be verified） （ Are details of Manual and procedures adequately corresponding to the requirements of the ISM Code ）

12. COMPANY VERIFICATION, REVIEW AND EVALUATION

12.1 Procedures for the implementation of internal audits
12.1.1 The Company should carry out internal audits at intervals not exceeding twelve months?
12.1.2 In exceptional circumstances, this interval may be exceeded by not more than three months.
12.1.3 Are the procedures to extend the interval in exceptional circumstances established? 12.1
a)When or under what circumstances, the internal audit may be extended by whose approval?
b) Is the time frame of subsequent internal audit after extended one specified properly?
c) Panama, Hong Kong, Marshall, Bahama 's Special Requirement has been incorporated?
12.2 Are Procedures for periodical verification of outsourcing company's activity for supply of ship stores, manning and maintenance. 12.2
The company should provide clear standards for delegating specific tasks and establish the levels of authority and lines of
communication between the departments, branches and delegated entity.

The company should monitor and carry out periodic verification of the delegated task to ensure compliance with the relevant ISM Code
requirements

12.3 Are Procedures for management review established?

a) Periodically evaluate the effectiveness of the SMS (at least once a year)
b) Identified risks to ships, personnel and the environment are to be assessed and reviewed at the meeting? Code 1.2.2.2
c) Results of Extenal and Internal Audits/Amendments of rules and regulations/Revision of Policy are to be reviewed 12.3
d) Experienced deficiencies and casualties/outstandings froms previous meeting/Reports of Master's Review
& PSC deficiencies etc. are to be reviewed
e) Additional reviews, when needed,
12.4 Audit procedures have been documented including following? 　 12.4
Audit Plan and Program / Corrective action request /　Verification of Corrective action/relevant records/

12.5 Company ensures that personnel carrying out audits should be independent of the areas being audited? 12.5
12.6 Company ensure that the results of the audits and reviews should be brought to the attention of all personnel having
12.6
responsibility in the area involved?.
12.7 Procedures for timely and appropriate corrective actions by the responsible personnel have been established? 12.7

13 Functional Requirements （SMS includes requirements defined in the para.1.4 of the Code ?) 1.4

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