CI-F-0030

MM A OFFSHORE ASI A 12/07/2016

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S AFETY M ANAGEMENT SYSTEM Page 1 of 14

INTERNAL ISM DOCUMENT OF COMPLIANCE CHECKLIST

Audit Number: Audit Date/s

:

Audit conducted Vessel: Name :

on () :

Company: Name :

Audit Location
:

Requested by
:

Type of Audit Internal

() :

Supplier

Other Description:
(Specify)

Lead Auditor : Audit Team : 1.

2.

3.

Auditees: Name (Ref :) 1. ( ) 2. ( )

3. ( ) 4. ( )

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PART A IMPLEMENTATION
1 GENERAL
1.2 Objectives

1.2 The objectives of the 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.

1.2.2.1 How does the system verify the company

provides for safe practices in ship operation
and a safe working environment

1.2.2.2 How does the system verify the company

identifies and assesses risks to its ship,
personnel, and the environment

1.2.2.3 How does the company take continuous

efforts to improve safety management skills
of personnel on shore and onboard the
ship?

1.2.3 How does the system verify the company's

safety management system ensures
compliance with mandatory rules and
regulations

How does the system verify the company's

safety management system ensures
compliance with applicable codes,
guidelines & standards recommended by
IMO, Classification Societies & maritime
industry organisations are taken in to
account

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FUNCTIONAL REQUIREMENTS FOR A

1.4
SAFETY MANAGEMENT SYSTEM

Does the company system have a safety

1.4.1
and environmental-protection policy ( also
ref 2.1)

1.4.2 Does the company system have instructions

and procedures to ensure safe operation of
ships and protection of the environment in
compliance with relevant international and
flag State legislation

1.4.3 Does the company system have defined

levels of authority and lines of
communication between, and amongst
shore and shipboard personnel

1.4.4 Does the company System have procedures

for reporting accidents and non-conformities

Does the company system have procedures

1.4.5 to prepare for and respond to emergency
situations

1.4.6 Does the company have procedures for

internal audits and management reviews

SAFETY AND ENVIRONMENTAL-

2
PROTECTION POLICY – see

2.1 Is the safety and environmental-protection

policy available & visible

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How does the system ensure policy is

2.2 implemented and maintained at all levels of
the organization, both ship-based and shore-
based
COMPANY RESPONSIBILITIES AND
3
AUTHORITY

3.1 Does the operator of the vessels differ from

the registered owner? If different, has the
Administration been informed of who is
responsible for the operation of the ship(s)

3.2 How does the company system define the

responsibility, authority of all personnel who
manage, perform and verify work relating to
and affecting safety and pollution prevention

How does the company system ensure that

3.3 management provide adequate resources
and shore-based support are provided to
enable the designated person or persons to
carry out their functions?

4 DESIGNATED PERSON(S)

Does the company system confirm a

designated person has been appointed to
provide a link between the Company and
those on vessels - Who is the Designated
Person(s )

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How does the company system demonstrate

the designated person has direct access to
the highest level of management

How does the Company system

demonstrate the responsibility and authority
of the designated person has been defined

How does the company system demonstrate

there is sufficient evidence to show that the
DPA visits the vessel regularly to monitor the
SMS? (4.0)(3.3)

5 MASTER'S RESPONSIBILITY AND

AUTHORITY

How does the company system verify the

5.1
master's responsibilities have been defined
with regards to:

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

Issuing appropriate orders and instructions

5.1.3
in a clear and simple manner ( Masters
Orders);

5.1.4 Verifying that specified requirements are

observed ( e.g STCW Rest Periods)

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INTERNAL ISM DOCUMENT OF COMPLIANCE CHECKLIST

5.1.5 Completing an annual review of the safety

management system with reporting any
deficiencies to the company.

5.2 Does the company system demonstrate a

clear statement emphasizing the master’s
authority? With the responsibility to make
decisions with respect to safety and pollution
prevention and to request the Company's
assistance where necessary.

Masters Handover Notes

Are notes clear and concise, and written to
incorporate all essential vessel observations
during the last swing? To include Deficiency
Report

6 RESOURCES AND PERSONNEL

How does the company system evidence

6.1
that the master is:

Properly qualified for command

6.1.1
( annual assessment / training )

Fully conversant with the company's safety

6.1.2
management system; and

6.1.3 Given the necessary support so that the

master's duties can be safely performed.

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How does the company system ensure all

6.2 vessel are manned with qualified,
certificated and medically fit seafarers as per
national and international requirements?

6.3 How does the company system confirm

familiarisation training for new personnel
and personnel transferred to new vessels in
relation to their duties and with particular
regard to safety, security and environmental
protection

How does the company system provide that

essential instructions have been identified,
documented and given prior to sailing

How does the company system ensure all

6.4
personnel involved in the Company's safety
management system have an adequate
understanding of relevant rules, regulations,
codes and guidelines?

6.5 How does the company system establish

and maintain procedures for identifying any
training which may be required in support of
the safety management system, ensuring
that such training is provided for all
personnel concerned.

How does the company system ensure ships

6.6 personnel have received relevant
information on the SMS in their working
languages

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6.7 How does the company system ensure ships

personnel crew are able to communicate
effectively in the execution of their duties
related to the safety management system?

DEVELOPMENT OF PLANS FOR

7
SHIPBOARD OPERATIONS

How does the company system establish

procedures for the preparation of plans and
instructions, including checklists as
appropriate, for key shipboard operations
concerning the safety of the ship and the
prevention of pollution :

Bridge & Navigation Operations

Engine room Operations

Vessel Mobilisations
Vessel Demobilisations
Filled in completely, signed and dated
Hydrocarbon Transfer procedure

STCW
(How are the watch keeping personnel
maintaining records of hours worked?

VESSEL WORKING ARRANGEMENTS

Are the names of the watch keepers
displayed in the wheelhouse)
Navigation ( Charts / Notices /
Publications )
How are the vessels supplied with the latest
editions of :

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INTERNAL ISM DOCUMENT OF COMPLIANCE CHECKLIST

IMO International Code of Signals (SOLAS

V-Reg 21) – A Copy Must be Onboard

IAMSAR Vol.3 – A copy must be on

board

List Of Charts On-board ( Chart Folios)

Most up to date versions for relevant
passage plans?

Flag State Marine Notices

Port Notices

DP Operations Manual

Cargo Operations

Mooring Operations
Catering Operations

8 EMERGENCY PREPAREDNESS

Does the company system provide

8.1 procedures on how to respond to potential
emergency shipboard situations?
 Collision
 Grounding
 Fire/ Explosion
 Flooding
 Man Overboard
 Steering gear failure/ power failure
 Piracy / Terrorism
 Oil Spill
 Cargo shift
 Bomb search

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8.2 Does the company system have a schedule

of drills to be carried out

Are the drills being carried out as planned,

past drill records to be verified
Are the relevant drills being recorded

How does the company system

8.3 demonstrate the companies can respond at
any time to hazards, accidents and
emergency situations involving its ships at
any time

9 REPORTS AND ANALYSIS OF NON-

CONFORMITIES, ACCIDENTS AND
HAZARDOUS OCCURRENCES

9.1 How does the company system include

procedures ensuring that non-conformities,
accidents and hazardous situations are
reported to the company, investigated and
analysed with the objective of improving
safety and pollution prevention.

How does the company system establish

9.2 procedures for the implementation of
corrective action(s)?

10 MAINTENANCE OF THE SHIP AND

EQUIPMENT

10.1 How does the company system establish

procedures to ensure that the ship is
maintained in conformity the relevant rules
and regulations and any additional company
requirements.
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INTERNAL ISM DOCUMENT OF COMPLIANCE CHECKLIST

10.2.1 In meeting these requirements, ensure that:

10.2.2 Inspections are held at appropriate intervals;

Any non-conformity is reported, with its

10.2.3
possible cause, if known;

10.2.4 Appropriate corrective action is taken; and

10.2.5 Records of these activities are maintained.

10.3 How does the company system identify

equipment and technical systems the
sudden operational failure of which may
result in hazardous situations (Critical
Equipment)?

How does the company system provide for

specific measures promoting the reliability of
such equipment or systems? (Critical
Equipment Spares).

How does the company system include the

regular testing of stand-by arrangements
and equipment or technical systems that are
not in continuous use?

How are the inspections in 10.2 as well as

10.4 the measures referred to in 10.3 integrated
into the ship's operational maintenance
routines.

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11 DOCUMENT of COMPLIANCE

11.1 How does the company system establish

and maintain procedures to control all
relevant documents and data

11.2. How does the company system ensure that:

Valid documents are available at all relevant

11.2.1
locations;

Changes to documents are reviewed and

11.2.2
approved by authorized personnel; and

Obsolete documents are promptly removed.

11.2.3
What form does the company maintain
11.3 documents within the safety management
system that it considers most effective? How
does each ship carry on board all
documentation relevant to that ship?

COMPANY VERIFICATION, REVIEW AND

12
EVALUATION

How does the company system verify that

12.1
internal safety audits are carried out on
board and ashore at intervals not exceeding
12 months ( this interval may be exceeded
by no more than 3 months only in
exceptional circumstances

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How does the company system verify

12.2
completion of periodically audits of any third
party company who undertakes delegated
ISM-related tasks on behalf of the company?
(ensuring conformity with the company's
responsibilities under the Code) e.g Crewing
providers
How does the company system verify that a
12.3 management review of the safety
management system is completed
periodically

How does the system verify that the audits

and any corrective actions are carried out in
accordance with documented procedures?

How does the system verify personnel

12.4 carrying out audits are independent of the
areas being audited (unless impracticable
due to the size and the nature of the
Company)

12.5 How does the system verify results of the

audits and reviews are brought to the
attention of all personnel having
responsibility in the area involved?
How does the system verify the
12.6 management personnel responsible for the
area involved to take timely corrective action
on any deficiencies found?

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PART B CERTIFICATION AND VERIFICATION

CERTIFICATION AND PERIODICAL
13
VERIFICATION
Does the company hold a valid Document of
13.1 Compliance or Interim Document of
Compliance

Who is the Issuing authority of The

13.2
Document of Compliance
What is the validity of the Document of
Compliance
What are the ship type(s) relevant for
13.3
Document of Compliance?

Is there evidence of Annual verification(s) of

13.4
the Document of Compliance

Is there any evidence of withdrawal of the

13.5
Document of Compliance by Administration

Is there any evidence of withdrawal of

13.5.1 associated Safety Management Certificates
and/or Interim Safety Management
Certificates
Availability of the copy of Document of
13.6
Compliance on board.
The validity of Safety Management
13.7
Certificate.
Intermediate verification of Safety
13.8
Management Certificate.

Additional reasons for withdrawal of the

13.9 Safety Management Certificate (see also
13.5.1 and 13.8)
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