m/v

ISM INTERNAL AUDIT (VESSEL)

Audit Ref:

Date:
IMS audits will be planned by the GONS Quality or HSE Manager.

The audit will be carried out by suitably qualified personnel nominated by the Company, or by a
Manager or Superintendent other than the vessel's Operations Superintendent,

The vessel will be made aware of the forthcoming audit and be given copies of the audit
preparation; GONS 111, and the audit plan; GONS 121.

The audit shall be based on interviews with ships staff and this IMS audit checklist. The audit
programme shall also take account of the findings of any prior audit. The checklist shall be used
as a guide, but the auditor may also at his discretion decide to focus on particular areas of
deficiency; each main section of the audit should however receive some attention.

The HSE Manager/Company Security Officer has authorised a Company appointed auditor to
conduct the ISPS section of the IMS Internal Audit.
The Company appointed auditor is allowed access to the Ship Security Log and the location of
the Ship Security Plan. The auditor is not required to view the SSP.

The auditor in his report should indicate if the vessel should be re-audited sooner than the normal
12-month frequency. The objective shall be to audit each vessel at least once in each calendar
year, but the frequency may be increased according to the degree of non-compliance found in
the audits, or for other reasons.

In accordance with normal auditing procedures, major non-conformities and non-conformities will
be reported using corrective action requests, GONS 114.
Observations will be listed together with a summary of non-conformities on the internal audit
summary; GONS 118
ISM Code section 1- GENERAL.
1.1 Definitions
1.2 Objectives Includes compliance with all mandatory rules and regulations
1.3 Application
1.4 Functional requirements for a Safety Management System (SMS)
ISO 14001 section 4.3.2 Legal and Other Requirements
Masters Vessel certification all mandatory ships certs up to date, vl
Responsibility free from conditions of class
GONS135 Carriage of Nautical Publications
Confirm publications carried as per list
Comments:

ISM Code section 2 - SAFETY & ENVIRONMENTAL PROTECTION POLICY

2.1 Company to establish a safety & environmental policy to meet objectives of the ISM Code
2.2 Implementation & maintenance of the policy

ISO 9001:2000 section 4.1 QUALITY MANAGEMENT SYSTEM General requirements

ISO 14001 section 4.2 Environmental Policy

4.3.4 Implementation and Maintenance of the Policy
Masters Implement Company policies and motivate the crew in their
Responsibilities observation
a) Quality Policy
b) Health and Safety Policy
c) Environmental Protection policy
Ensure the policies are displayed throughout the vessel

Comments:

ISM Code section 3 COMPANY RESPONSIBILITIES & AUTHORITY

3.1 Name & details of Company responsible for operation of ship
3.2 Roles and Responsibilities job descriptions
3.3 Company to ensure adequate resources available for DPA
ISO 9001:2000 section 6 HUMAN RES0URCES
6.2.2 a) Determine necessary competence for personnel performing work affecting service quality
ISO 14001 section 4.4.1 Structure and Responsibility. Roles and responsibilities
Masters Standing orders, and use of night order book GONS 143
Responsibilities. Ensure adequate info for 24hr manning and when the
Master is to be called
Stability calculations have been carried out
Medical scales and drug register up to date

Chief Eng. Standing orders & use of night order book

Responsibilities
All crew Crew members understand their responsibilities related to the
Responsibilities quality of the operation and their responsibility to preventing
pollution

Comments:
ISM Code Section 4 - DESIGNATED PERSON
Access to highest level of management, a link between ship and shore, monitoring safety aspects of the
vessels and providing shore based support
ISO 14001 section 4.4.1 Access to highest level of management, a link between ship and shore, monitoring
Environmental aspects of the vessels and providing shore based support
M060 Are all personnel on board aware of who the DPA is and his
duties and responsibility?
Comments:

ISM Code section 5 MASTERS RESPONSIBILITY & AUTHORITY

5.1 To implement the policy, motivate the crew in its observation, issue appropriate orders and instructions,
verify requirements are observed and review the SMS
5.2 A company statement within the SMS regarding the Masters authority
ISO 14001 section 4.4.1 Structure and Responsibility
4.4.3 Internal communications between the various levels and functions of the company
MO58 Understand procedure for the Masters review of the IMS
GONS 002 correctly completed annually
Masters Ensure Master understands his responsibilities and authority
Responsibilities
Masters Ensure that the crew understand and comply with the
Responsibilities requirements of the IMS
Comments:

ISM Code section 6 RESOURCES & PERSONNEL

6.1 Master qualified, conversant with SMS, given necessary support
6.2 Vessel manned as per legal requirements with qualified, certified medically fit seafarers
6.3 New personnel given proper familiarisation with duties
6.4 Personnel involved with the SMS understand rules and regulations
6.5 Training requirements and provision of such training.
6.6 Information from SMS given in a language understood by ships personnel
6.7 Personnel must be able to effectively communicate when carrying out duties.
ISO 9001:2000 6.2 HUMAN RESOURCES
6.2.1 General
6.2.2 Competence, awareness and training of personnel involved in work affecting quality
ISO 14001 section 4.4.2 Training, Awareness and Competence of personnel involved whose work may have an
impact on the environment
4.4.3 Communication
GONS 072 Certification of the Master

Masters Qualified and medically fit seafarers, compliance with the

Responsibilities requirements of the safe manning certificate
GONS 018 Crew list completed
M032 Safety and Environmental Awareness training on board, completion
of training record book. SEAT training matrix GONS 073
Masters Ships personnel understand rules and regulations
Responsibilities

GONS 072 Procedure and requirement for training of personnel

GONS 072 Ensure orders, information, signs etc given in a language
understood by all
GONS 072 Are ships personnel able to communicate effectively when carrying
out their duties
Quality Manual Do all crew members understand their part in the provision of a
quality service to the customer?
Roles and Are all crew members aware of their responsibilities with regard to
Responsibilities the Companys Policies on Quality, Health,Safety and Environmental
Protection?
Comments:
ISM Code section 7 DEVELOPMENT OF PLANS FOR SHIPBOARD OPERATIONS
The establishment of plans and procedures including checklists for key shipboard operations
ISO 14001 section 4.3.4 Environmental management programme
M040 Ship operations Bridge, Navigation & Deck
Bridge manning levels 24hr manning?
Lookout as per regulations
Steering changeover instructions and pilot card
Compass error book
Deck Log Book up to date and complete
Radio Log Book correctly completed with all test as per
requirements
M079 Bunkering
Bunker transfer GONS 015 completed and signed, entries made
in Oil Record book
M073 Chemical stowage
Chemicals stowed in designated areas, hazard data sheets
available in all stowage locations, eye wash readily available
near stowage locations, PPE sighted in stowage area.
Chemical handling checklist GONS 037 displayed and in use
Garbage Manual Garbage is being managed in compliance with legal and
company requirements
M040 Passage plans Ensure passage plans comply with
requirements
Ballast Management Ballast management plan on board
M041 ER Procedures & Watchkeeping
ER manning levels
UMS operations
Em generator & fire pumps instructions for use
Bilges & general cleanliness
Oily water separator Oil record book
Use of PPE in the ER
M043 Port Departure ensure GONS 164 checklist completed prior to
departure
M044 Port Arrival ensure GONS 164 checklist in use for port arrival
M077 Installation arrival
Ensure risk assessments are made for arrival
Adverse weather guidelines prominently displayed and adhered
to.
GONS 099 correctly completed and 500m zone and 50m checks
entered in deck log book
M064 Permit to Work System Ensure permit are being issued for
relevant tasks, GONS 045,046,047,048, 049 correctly completed
& filed
M063 Personal Protective Equipment Ensure that all ships personnel
comply with company requirements for use of PPE
Comments:

ISM Code section 8 EMERGENCY PREPAREDNESS

8.1 Establish procedures to identify, describe & respond to potential emergency ship situations
8.2 Establish a programme for drills and exercises
8.3 Shore based response to shipboard emergencies
ISO 14001:1996 section 4
4.4.7 Emergency preparedness and response
M054 Emergency actions Ensure crew aware of emergency actions.
SOPEP/SMPEP manual approved
MARPOL P&A manual
SOLAS training manual
M052 Programme for drills and exercises, confirm all drills are
being carried out in accordance with statutory & company
requirements, see drill Matrix GONS005
M053 Muster lists and fire plans
Ensure muster lists are up to date & posted throughout
the vessel
Fire plans are up to date and reflect any changes to
equipment
Comments:

ISM Code section 9 REPORTS & ANALYSIS OF NON CONFORMITIES, ACCIDENTS AND HAZARDS
9.1 Procedure for reporting non conformities, accidents and hazards, investigation and analysis of same so as
to improve safety & pollution prevention
9.2 Procedure for implementing corrective action
ISO 9001:2000 8.3 CONTROL OF NON-CONFORMING PRODUCT
8.3 Non-conforming product identified, non-conformity eliminated
8.5.2 Corrective action to eliminate non-conformities
8.5.3 Preventive action
ISO 14001 section 4.4.3 Internal Communications Procedures
4.5.2 Non-conformance and corrective and preventative action
M091, M009 Reporting and procedure for non-conformities, CARs
GONS 114
Reporting and procedure for Incidents/near misses
GONS 007
M062 Risk Assessments - ensure risk assessments are being carried
out for all key ship operations personnel aware of risk
assessment before commencement of task checklists
produced from the risk assessment
GONS 145 correctly completed
M062 Hazard reporting ensure procedure is being followed and
personnel are utilising the hazard observation programme
GONS 017 correctly completed
M009 Safety Officers Logbook Ensure safety inspections as per
requirements, full records kept of all relevant information
GONS 140 correctly completed
- Appointment of safety officer and safety reps recorded in OLB
M036 Safety Meetings Ensure meetings are held as per company
requirements
GONS 030 correctly completed
Comments:

ISM Code section 10 MAINTENANCE OF THE SHIP & EQUIPMENT

10.1 Company to establish procedures for maintenance of the ship in conformity with regulations and any
other company requirements.
10.2 Inspections at regular intervals, defects reported, corrective action taken, records maintained.
10.3 Procedures for maintaining critical equipment, testing of stand-by equipment
10.4 Paragraphs 10.2 & 10.3 integrated into ships maintenance system
ISO 9001:2000 section 6.4 WORK ENVIRONMENT
6.4 Company to determine and manage the work environment to achieve conformity to product requirements
Section 7.6 CONTROL OF MONITORING AND MEASURING DEVICES
ISO 14001 section 4.4.3 Internal communications procedures
4.5 Checking and corrective action
4.5.1Monitoring and measurement
M047 Maintenance system Ensure maintenance system in use,
whether computer or paper based records details of inspections
etc as required in the company procedure.

M075 Batteries check records are kept of battery maintenance &

correct safety procedures in place for battery testing
M049 Calibration confirm equipment is calibrated in conformance
with the procedure
GONS 110 Details entered in TM Master SFI 150.
M022 Lifting appliance register confirm register correctly up to date
with records of test and examinations as required by the
regulations
GONS 022, 026 & 027 may be used as the register
M076 Tools and equipment ensure tools are being used safely,
correct guards in place and PPE available

M047 Defect reporting via ship voyage report

GONS 034 correctly completed
M047 Critical equipment defect reports ensure all defects in critical
equipment is being reported and recorded
GONS 008 correctly completed
M092 Workplace maintained in accordance with procedures

M092, OLB Inspections of accommodation and food and water being carried
out and being logged in the OLB
M092, OLB Crew complaints regarding accommodation being recorded and
appropriate actions being taken
Comments:

ISM Code section 11 DOCUMENTATION

11.1 Company to establish procedures for control of documents within the IMS
11.2 Valid documents available, changes reviewed & authorised, obsolete documents removed
11.3 Full set of documents available on every vessel
ISO 9001:2000 section 4.2 DOCUMENTATION REQUIREMENTS
4.2.3 Control of Documents. Documents required by the IMS to be controlled
4.2.4 Control of records. Records to be established and maintained
ISO 14001 section 4.5.3 Records
M01 Ensure current IMS CD is the correct revision
M001 All forms in use are those taken from the current CD
All references to procedures and blank forms stored on the
computer and in files are taken from the latest CD
M001 Ship specific forms controlled as procedure
Document retention as procedure
M039 Ensure all fleet circulars and safety flashes available and files up
to date
Comments:
ISM Code section 12 COMPANY VERIFICATION, REVIEW & EVALUATION
12.1 Company to carry out Internal Audits to prove compliance with IMS
12.2 Company to evaluate and review the IMS periodically
12.3 Audits carried out in compliance with documented procedures
12.4 Auditors to be independent of areas audited
12.5 Results of audits and IMS reviews made known to all involved
12.6 Management personnel responsible to take timely action on deficiencies found
ISO 9001:2000 section 8.2 MONITORING & MEASUREMENT
8.2.2 Internal audits. Company to carry out internal audits to ensure compliance to standard as regards quality
ISO 14001 section 4.5.4 Environmental management system audit
M009 Copy of last internal audit available on board

M009 Results of last audit acted upon and all CARs GONS 114
correctly completed and closed out.

Comments:
ISM Code section 13 CERTIFICATION, VERIFICATION & CONTROL
13.1 Company to be issued with a Document of Compliance (DOC) relevant to the ship
13.2 DOC issued by administration as evidence Company capable of complying with ISM Code
13.3 A copy of DOC to be placed on board each vessel
13.4 Ship issued with a Safety Management Certificate (SMC) by the administration to verify company and the
ship operate in accordance with the approved SMS
13.5 The administration to periodically verify the functioning of the approved SMS
ISO 14001 section 4.5.1 Monitoring and measurement
M000 Correct copy of company DOC on board together with letter of
acceptance if applicable
M000 SMC on board Dated:

M001 Are copies of the Company Policies prominently displayed on

board?

Comments:

ISO 9001:2000 section 7.4 PURCHASING

7.4.1 Purchasing Process
7.4.2 Purchasing information
7.4.3 Verification of purchased product
ISO 14001 section 4.4.6 Operational control
M026 Goods receipt being carried out as required by procedure
M069, Purchasing process as procedure
M069 Non-conforming goods controlled as procedure
Comments:

ISO 9001:2000 section 7.2 CUSTOMER RELATED PROCESSES

7.2.3 Customer communication
ISO 14001 section 4.4.6 Operational control
M094 Has vessel received any compliments or complaints from the
customer (charterer, installation, base)?

Have any such compliments or complaints been recorded and

dealt with as required by the procedure ?

Comments:
ISO 9001:2000 section 5.6 MANAGEMENT REVIEW
5.6.1 General. Top Management to review the organisations Quality Management system
ISO 14001 section 4.6 Management review
Quality Manual Has the vessel received any output from the last Management
Review ?

Has the vessel made any suggestions for the improvement of

the quality system ?

Comments:

(SOLAS X1-2) ISPS Code

Part A & B Ship Security Plan
A 1.3.6 Does the vessel carry onboard a Ship Security Plan approved by
the Administration?
A 9.7 Is the SSP protected from unauthorized access or disclosure?
A 1.3.4 Are preventive measures implemented against the introduction
of unauthorized weapons, incendiary devices or explosives?
Baggage Search?
A 9.4 Are the restricted areas identified and known?
Are the procedures known to prevent unauthorised access to
these areas, are they kept locked when unmanned?
B 9.11 Are procedures implemented regarding identification for ships
personnel, passengers and visitors? ID Badges?
A 9.4.7 The responsibilities and duties of shipboard personnel regarding
security are known?
Comments:

ISPS Code 2003 Edition

Part A & B Records/Security Log Book
10.1.2 Are all Security threats and Security incidents recorded?
10.1.5 Are all communications relating to the direct security of the ship
recorded? Changes in Security Level?
10.1.6 Are the last ten ports of call record sheet properly maintained?
B 5.1.2 Does the vessel correctly complete a Declaration Of Security
prior to entering port? Are these DOS recorded in the Vessel
Ship Security Log?
Comments:

ISPS Code 2003 Edition

Part A & B Training, drills and exercises on Ship Security
A 1.3.7 Are training, drills and exercises carried out to ensure familiarity
onboard with security procedures and responsibilities?
Are these carried out at least one every three months and
properly recorded in the SSL?
Comments:

ISPS Code 2003 Edition

Part A & B Ship Security Officer (SSO)
A 12.1 Is there a qualified Ship Security Officer onboard?
Comments: