Check-list for company Safety Management system audit

1) ITEMS TO BE CHECKED PRIOR TO AUDIT

1.1) Is there any changes of ships under management?
YES
NO
1.1.1) Are the delegation letters as per ISM 3.1 uploaded in MMV?
Yes
No
N/A
1.2) Is there any changes in flags covered by the DOC?
YES
NO
2) INTERVIEW WITH TOP MANAGEMENT
2.1)Have you noticed any benefits since your company has introduced its SMS?
Yes
No
N/A
2.2) what opinion do you have regarding SMS activities of all personnel involved ?

2.3) What matters has DPA reported to you recently regarding ISM ?

2.4) How do you think about key points of management review ?

3) RESPONSABILITY OF DPA
3.1) Is DPA monitoring the safety and pollution prevention aspects of the operations of each ship
and ensuring that adequate resources and shore based support are given as needed ?
Yes
No
N/A
3.2) How often do you or nominated personnel on your behalf visit your ships?
3.3) Can all masters identify David PEANO as DPA and as the person in charge of SMS?
Yes
No
N/A
3.4) What matters did the DPA report to the top management recently?

4) SYSTEM REVIEW
4.1) Is the company periodically evaluating the effectiveness of SMS and, when needed,
reviewing the SMS inn accordance with procedures established by the company?
Yes
No
N/A
4.2) Can you confirm if proper revisions on the SMS policy, manuals and procedures, since the
last audit have been made, on the basis of company's explanations with reasons on the revised
parts ?
Yes
No
N/A
4.2.1) Have the revisions of the mandatory rules such as IMO conventions been taken into SMS?
Yes
No
N/A
4.2.2) Are the revisions approved by responsible person, according to the procedures?
Yes
No
N/A
4.3) Following items, as functional requirements of SMS, shall be verified:

a) Is the safety and environmental policy clearly shown ?

Yes
No
N/A
Signature of top management
Last revision date

b) Are the objectives of SMS clearly stated in the SMS?

Yes
No
N/A
C) Are there procedures for risk assessment in the vessel?
Yes
No
N/A
For shipboard operations? ( including use of tenders and water toys)

For emergency preparedness ?

For maintenance of the ship equipment ?

Who have the responsibility to the implementation of risk assessment?

Are identified risks to ships, personnel and the environment assessed and reviewed at the
meeting?
Yes
No
N/A
Are there any safeguards newly established on the results of the management review ?
Yes
No
N/A
Are the procedures of reviewing SMS by the master and reporting its deficiencies to the shore-
based management stated in the SMS ? If yes is timing of reporting clearly specified ?
Yes
No
N/A
Are the procedures of reporting accidents and NC to the SMS stated in the SMS ?
Yes
No
N/A
Is the timing of reporting clearly specified ?
Yes
No
N/A
Is the definition of NC clearly specified ?
Yes
No
N/A
4.4) Following items shall be verified on the basis of records of system review:

Are system review meetings held by the company at least once a year ?
Yes
No
N/A
Are necessities of revisions of the SMS discussed at the meeting ?
Yes
No
N/A
Are the results of system reviews brought to all departments and ships ?
Yes
No
N/A
Are performances and appraisals of manning agencies and training needs for seafarers discussed
at the meeting ?
Yes
No
N/A
Are detentions and deficiencies by PSC and NC / OBS at internal/external audits discussed at the
meeting ?
Yes
No
N/A
Are the results of Master's SMS reviews and reported deficiencies/failure reports discussed at the
meeting ?
Yes
No
N/A
Are countermeasures and revisions of SMS if necessary, for accidents, casualties and sickness
occurred on managed ships discussed during the meeting ?
Yes
No
N/A
4.5) Non conformities raised at past external/internal audit :
Have investigation and analysis of NC been checked and verified ?
Yes
No
N/A
Have investigation and analysis of PSC/Class/Flag survey or audit reports been checked and
verified ?
Yes
No
N/A
5) INTERNAL AUDIT
5.1) Is the company carrying out internal safety audit to verify whether safety and pollution
prevention activities comply with SMS ?
Yes
No
N/A
Are internal audits for all departments and ships planed at intervals not exceeding twelve months
?
Yes
No
N/A
Are procedures and criteria to extend internal audit within the three months under exceptional
circumstances established in SMS ?
Yes
No
N/A
Are internal audits conducted within twelve months from previous date of audit ?
Yes
No
N/A
Are extension of internal audits conducted as per SMS Manual/Procedures ?
Yes
No
N/A
5.2) Are internal audits carried out as per SMS manual/procedures ? ( to be assessed by
following question)
Yes
No
N/A
Are corrective action requests, corrective action for NC's and verification of its effectiveness
carried out in order?
Yes
No
N/A
Are results of internal audits reported to top management as per procedures ?
Yes
No
N/A
Are results of internal audit brought to all departments and ships ?
Yes
No
N/A
5.3) Have the following items for company side been verified ?
Yes
No
N/A
State of records prepared by office and records from ships.

State of management of controlled documents and legal/statutory publications.

Response to incident/failure reports from masters of ships.

Sea men's certificates monitoring and control.

Pre-joining forms and training when needed.

Have the following items for shipboard internal audit been verified ?
Yes
No
N/A
Official log book entry.

Motivation of crew members for company's SMS by master.

Placards to be posted up, such as Master standing orders and so on.

Verification by Master on passage plan and charts correction.

Master's review on the SMS, master monthly report.

Master's awareness on SMS.

Familiarisation training & essential instructions for newly joined crew.

Crew members' awareness on SMS.

Deck & engine logo book as per manual and procedures.

Garbage and oil record books.

Drills, training & instruction onboard

Launching records for life/rescue boats

Detentions/deficiencies by OSC and NC/OBS by external audits.

Progress monitoring & reporting of PMS.

corrections & preventive measures to trouble/failure reports

Management of controlled documents and legal books & publications

6) SHIPBOARD OPERATION, SPECIFIC ITEMS FOR SHIP & FLAG STATES

6.1) Are plans and instructions, including checklist as appropriate, for key shipboard operations
concerning the safety of the ship and the prevention of pollution established and maintained?
Yes
No
N/A
Enter/leaving port

Passage planning

Watch (at sea/ at anchorage)

Charts and nautical documentation correction.

Dangerous work

Pollution prevention (garbage, oily water, sewage, bunker....)

6.2) Supporting shipboard operation

Confirm how to supply notice to mariners and charts.
What kind of official letters are used to provide the ships with necessary information?

Has any master ever made use of his overriding authority actually?

Are the rules and circulars of every flag available in the office and onboard each ship?
Yes
No
N/A
7) EMERGENCY PREPAREDNESS
7) Has the compagny identified and described the potential emergency shipboard situations and
established procedures to respond to them?
Yes
No
N/A
Are programmes for drills and exercices to prepare for emergency actions established?
Yes
No
N/A
Can the company's organisation respond at any time for them?
Yes
No
N/A
7.1) Identification and response procedures for potential emergency situations
Have emergency situations identified by the company been reviewed?
Yes
No
N/A
Is the plan for yearly joint exercices and shipboard drills prepared?
Yes
No
N/A
Is "Emergency Contacts list " updated?
Yes
No
N/A
Are emergency reporting procedures clearly specified,
Yes
No
N/A
How emergency response team been dealt with in case of prolonged situation?

Are the doucments needed (stability booklet, safety plan, tank plan....) in case of emergency
situation available in office for each ship?
Yes
No
N/A
7.2) Verification on joint exercices on the basis of exercice reports/records
Was the emergency response team actually mobilized?
Yes
No
N/A
Was the scenario for the exercice prepared?
Yes
No
N/A
Are the last exercice's evaluation reflected in the recent exercice?
Yes
No
N/A
Were ship's drawings, nautical charts, exclusive phone, etc actually prepared?
Yes
No
N/A
Were outside organizations involved,
Yes
No
N/A
Were the exercices performed during office hours,
Yes
No
N/A
Were the results of exercice evaluated by company & the master?
Yes
No
N/A
Are any points to be improved in emergency repond procedures found?
Yes
No
N/A
Were all activities of exercice, from beginning to closing out recorded?
Yes
No
N/A
7.3) Verification of onboard drills and training on the basis of their reports/records
Were onboard drills as per SOLAS requierments?
Yes
No
N/A
Is the duration of the drill reasonnable?
Yes
No
N/A
were the results of drills and training evaluated by the master?
Yes
No
N/A
8) NON-CONFORMITIES, DEFICIENCIES, ACCIDENTS & HAZARDOUS
OCCURENCES
8) Does company ensure that non-conformities, accidents and hazardous situations are reported
to the company, investigated and analysed with the objective on improving safety and pollution
prevention, and necessary corrective actions taken?
Yes
No
N/A
8.1) Reeporting of Non-conformities and measures to address them?
Are definition of non-conformities 5deficiency° clearly specified in the SMS?
Yes
No
N/A
Are deficiencies at PSC reported to the company?
Yes
No
N/A
Are NCs and OBSs raised at external audits reported to the company?
Yes
No
N/A
Are incompetent crew and claim from outside party reported to the company?
Yes
No
N/A
Is there no lack of PSC records kept by the company?
Yes
No
N/A
Do reports to the company proposed corrective actions?
Yes
No
N/A
Are these reports investigated and analyzed by the company?
Yes
No
N/A
If any have these incident, accident & casualties been reported to flag authorities as per flag
rules?
Yes
No
N/A
Have these matters, toghether with preventive measures, been been brought to the attention of
other ships concerned,
Yes
No
N/A
8.2) Reporting of Casualties, Accidents & Incidents and measures to address them.
Is the year free of casualties, incidents & accident?
Yes
No
N/A
If any have these incident, accident & cassualties been reported to the company?
Yes
No
N/A
If any have these incident, accident & casualties been reported to flag authorities as per flag
rules?
Yes
No
N/A
8.3) Reporting of Hazardous occurences (near miss) and measures to adress them.
Are hazardous occurences (near miss) reported to the company?
Yes
No
N/A
Are these reports investigated and analyzed by the company?
Yes
No
N/A
Have these matters, toghether with preventive measures, been been brought to the attention of
other ships concerned,
Yes
No
N/A
9) MAINTENANCE
9) Does the company ensure that the ship is maintened in conformity with the provisions of the
relevant rules and regulations and with any additionnal requierments, which may be established
by the company?
9.1) Confirmation of certificates & survey records
Are the validity of certificates and survey arrangements properly managed?
Yes
No
N/A
9.2) Planned maintenance
Are the planned maintenance items and their intervals in order?
Yes
No
N/A
Are the planned maintenace intervals monitored and recorded by the company?
Yes
No
N/A
Are the planned maintenace executed properly?
Yes
No
N/A
9.3) Support from shore
Is the person in charge responding to failure reports from ship immediatly?
Yes
No
N/A
Are possible causes described in the failure reports?
Yes
No
N/A
Are appropriate corrective actions for the failure reports taken?
Yes
No
N/A
Are neccesary information such as revisions of convention and technical notices from makers
provided to ships under technichal management?
Yes
No
N/A
9.4) Critical equipments and systems
Are specific measures aimed at promoting reliability of critical equipment and system provided?
Yes
No
N/A
Are the regular testing of stand by arrangements and equipment or systems that are not in
continuous use included?
Yes
No
N/A
10) DOCUMENTATION
10) Has the company established and maintained procedures to control all documents and data
which are relevant to SMS?
10.1) Mnagemenet of controlled documents
Are the revisions of manuals & procedures executed as per procedures?
Yes
No
N/A
Are the distribution of revised manuals & procedures executed as per procedures?
Yes
No
N/A
Are the obsolete documents removed as per procedures?
Yes
No
N/A
10.2) management of legal/statutory book and publications
Is the list of publication to be placed in office and on board availiable?
Yes
No
N/A
Is confirmation of updated revisions executed as per procedures?
Yes
No
N/A
10.3) Management of official letters and correspondances
Are the official letters and correspondances of the company controlled properly as per
procedures?
Yes
No
N/A
Are the official letters and correspondances from ouside of the company controlled properly as
per procedures?
Yes
No
N/A
10.4) Ships documentation
Are up to date as built construction drawings availiable in the office fro every managed ships?
Yes
No
N/A
Are up to date technical drawings, maker notice and technical data availiable in the office for
every techicaly managed vessels?
Yes
No
N/A
11) MANNING
11) Does the company ensure that each ship is manned with qualified, certificated and medically
fit seafarers in accordance with national and international requierments, and necessary education
and training are provided to all personnel concerned?
11.1) Certificates & Medical fitness
Is a copy of minimum safe manning certificate of every ship available?
Yes
No
N/A
Are the copies of Masters & officers CoC avaliable?
Yes
No
N/A
Are the copies of rating CoP as required by STCW availiable?
Yes
No
N/A
How has the person in charge checked the authenticity of certificates?
Are the personnel data including medical fitness certificates of all crew in service availiable?
Yes
No
N/A
11.2) Assignement & evaluation of Masters
Who is responsible for assigning the Master and what is the procedure for such assignement?

Who is responsible for assessing master's familiarity with SMS and what is the procedure for
such assessment?

Who is reponsible to appraise the master's abilities and performances and what is the procedures
for such appraisal?

11.3) Appraisal and training of seafarer

Are familiarization training for newly joined crew executed properly?
Yes
No
N/A
Are refresh training or additionnal training riquired by new rules executed properly?
Yes
No
N/A
Are procedures to prevent re-employment of incompetent crew established?
Yes
No
N/A
12) TOUR THROUGH THE OFFICE
Are the valid documents availiable at the relevant locations?
Yes
No
N/A
Are the copies of all valid ship trading / statutory / class certificates maintened properly and
availiable?
Yes
No
N/A
Are required legal/statutory books & publications, circulars and finished plans ( including
instruction books) maintained properly?
Yes
No
N/A
Are the ships maintenance records kept properly (including docking repairs records & next
docking items to be repaired) ?
Yes
No
N/A
Auditor signature
Sign
DPA signature
Sign
Manager of management department signature
Sign