ISM Internal Audit Vessel Name:

17.1 A Company Responsibilities

# Description Completed Y/N Date & Initials

1.1 Discuss with the Master the Company’s performance
1.2 Discuss with the Chief Engineer the company’s performance
in meeting each policy described in sections 2.1 and 2.2 of
the SMS. Document that discussion.
1.3 Discuss with a random crew member the company’s
performance in meeting each policy described in sections
2.1 and 2.2 of the SMS. Document that discussion.
1.4 Verify that a printed copy of the SMS is onboard and
available to the crew.
1.5 Discuss with the Master the technique he used to implement
the SMS plan and to ensure that the crew understands and
utilizes the system.
1.6 Inspect the vessel’s Class, Flag State and other vessel’s
documents to ensure are current and all expired documents
are removed.
1.7 Inspect the vessel’s Fire, Safety and Lifesaving Equipment.
Verify maintenance and inspection documentation and
appropriate Logbook entries have been made.

17.1 B Designated Person’s Responsibilities

# Description Completed Y/N Date & Initials

1.1 Review the current DPA contact information and update as
required or necessary. Verify the DPA contact placards are
posted and available.
1.2 Discuss with the Master overall availability of Designated
Person when required in the support of vessel and his
performance in supporting the vessel’s needs.
Document that discussion

17.1 C Master;s Responsibility and Authority

# Description Completed Y/N Date & Initials

1.1 Discuss with the Master his command of the vessel with
regard to safety and environmental policies, his motivation
of the crew to follow the SMS directives and the clarity of his
orders and instructions.
1.2 Discuss with 3 random crew members the Master’s
command of the vessel with regards to safety and
environmental policies, his motivation of the crew to follow
 the SMS directives and the clarity of his orders and
commands.
1.3 Discuss with the Master the company’s overall performance
in providing support, parts, supplies and qualified crew to
the vessels.
1.4 Inspect Master’s hand-Over reports, if any for completeness
and conveyance of the vessel’s condition to new Master’s.
Discuss with the Master the information on the form. it’s
relevance and accuracy

17.1 D Proper Manning of the Vessel

# Description Completed Y/N Date & Initials

1.1 Discuss with the Master the process for identifying
acceptable candidates for open positions and the selection
of crewmembers
1.2 Select three current or past crewmembers personnel file
and review to ensure proper qualifications per SMS for
compliance with Job Title and description.
1.3 Select three Crewmembers and interview for proper
training to perform designated Emergency duties and has
received both onboard and onshore training. Verify New
Crew Orientation Check list for completeness.
1.4 Review the selected crewmembers personnel file to ensure
properly updated with relevant seaman’s documents,
medical forms, training certificates and other required
documents.
1.5 Verify the current crew compliment meets the Minimum
Safe Manning Certificate as required for the vessel.
1.6 Select two random crewmembers and discuss their
attendance and participation as well as perception of the
regular crew meetings held for the purpose of discussing all
matters of concern to the crew. Verify regular meetings
record.
1.7 Review the crewmembers end of contract Performance
Evaluation. Verify that each crewmember along with the
Masters signature is on the form

17.1 F Emergency Preparedness, tests, Drills and Inspections

# Description Completed Y/N Date & Initials

1.1 Review completed Record of Test, Drills and Inspections
forms on board. Verify that the frequency is in compliance.
Verify that all drills are coordinated with little warning and
close to real conditions.
1.2 Interview three random crewmembers and discuss their
 participation in drills, their opinion as to the readiness of
the crew to respond to emergencies onboard and their
knowledge of their responsibilities in an emergency.
1.3 Interview the Master and Chief Engineer, discuss their
participation in drills, their opinion to the readiness of the
crew to respond to emergencies, post drill meetings and
any improvements on procedures implemented. Inquire on
their own knowledge to responding to emergencies and
hypothetical situations.
1.4 Verify the Posting of Station Bills, Muster List and Fire
Control Plans as prescribe in the SMS.
1.5 Review the Bridge and Engine room Log Books with the
Master and Chief Engineer to verify that Tests and drills are
being done and logged on a regular basis. Review the form
Record of Tests, Drills and Inspections to verify all Test are
being performed and recorded and transmitted to the DPA
as prescribed.
1.6 Select two random crewmembers and discuss their
attendance and participation as well as perception of the
regular crew meetings held for the purpose of discussing all
matters of concern to the crew. Verify regular meetings
record.

17.1 G Incident Reporting

# Description Completed Y/N Date & Initials

1.1 Inquire with the Master if there have been any reportable
incidents onboard the vessel within the last audit period,
observe the evidence of the incident in the incident Report
Form field onboard. Verify that attendant regulatory forms
have also been completed and submitted. Discuss vessel
modifications and procedures that have been implemented
to prevent future incidents form occurring
1.2 Select (2) reported incidents form the vessel’s record and
verify that they were reported to the company in a timely
accurate manner
1.3 Assess that adequacy of information contained in the
incident report(s)
1.4 Select two random crewmembers that were present at the
time of the incidents and inquire as to their recollections of
the incidents, their assessment of the accuracy of the
reports, the discussions that took place at the regular
Crew/Safely meeting that follower and the adequacy of the
remedial actions.
1.5 Review for reasonableness the response to the incident;
such as were all the appropriate parties contacted, proper
documentation, timeliness of the actions taken, follow up
 investigations and identifying root cause of the incidents.
Also ensure the appropriate Crew / Safety meeting
followed

17.1 H Maintenance and Repairs

# Description Completed Y/N Date & Initials

1.1 Inquire with the Master procedures for recording Non-
Conformity for machine failure or breakdown, the
designation of a person responsible for corrective action,
and the evaluation of the corrective action pertaining to
improving operations and vessel safety.
1.2 Review Non-Conformity forms for timely submittal to the
DPA and for timely and adequate corrective action by the
Designated person and the responsible person onboard the
vessel.
1.3 Review any outstanding Corrective Action Request (CAR) as
to their status and their effect on the vessel operation and
safety.
1.4 Ensure recent CARS have been properly logged in the vessel
Record of Non-Conformities and have reasonable
denotation as to their character as per section 12 SMS
1.5 Inspect actions take to correct (3) random selected CAR’s.
Discuss with the Master and responsible person to ensure
that corrective actions were adequate; the date of
resolution and inspections were completed as per section
12 SMS.

17.1 I Handling of Deviations and Discrepancies

# Description Completed Y/N Date & Initials

1.1 Inquire of the Master about the procedures for obtaining
required documents and maintaining proper document
control on boar the vessel
1.2 Select (2) of the (5) Controlled documents listed in Section
14 SMS to test for existence. if any of the documents have
an expiration date, ensure the documents are current.
1.3 Select (3) of the Non-Controlled documents listed in Section
14 SMS to test for existence. if any documents have
expiration date, ensure the document is current
1.4 Select (3) of the Records listed in Section 14 SMS and verify
existence. Verify records are complete and accurate and
maintained as required
1.5 Select (4) of the Other Documents listed in Section 14 SMS
and verify existence. Ensure all are up-to date and in
accordance with regulatory bodies
 1.6 Observe whether documents are being controlled in an
organized and efficient manner and proper procedures for
document control are being adhered to

17.1 J Proper Manning of the Vessel

# Description Completed Y/N Date & Initials

1.1 Review Prior audit findings and discuss with master the
resolution of those findings.
1.2 Observe whether previous audit were conducted with
proper frequency and previous finding were resolved.
1.3 Inspect Master’s review forms completed and submitted
and verify resolution of and CAR’s issued pertaining to SMS.
1.4 Verify previous Audits meet the requirements of Section 15
SMS

17. 1 K Auditors Notes

Auditors Name & Signature :

Master’s Name Vessel & Signature :

Chief Engineer’s name & Signature :