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Shipboard Audit
ISM Code
Page 1 of 14
Type of Audit Initial Audit Intermediate Audit Renewal Audit Additional Audit
Ship Data
Ships name
GL-Register No.
How to use this This verification list contains all elements of the ISM Code indicating key points for which special
verification list attention should be paid during the shipboard audit (other elements are specially checked during
document control and the company audit).
Thus the main audit approach should not be to check if procedures exist, but the control, if the policy
and procedures (the entire SMS) are implemented at all levels.
This verification list shall be completed following the remarks on uneven pages.
The remarks on the pages with even numbers are to be used as guidance notes only.
The auditor may find and use helpful questions with regard to the respective departments marked as:
Attention is drawn to additional Flag State requirements (e.g. Liberia, Cyprus, and Luxembourg);
be found in ItS, Part I, Chapter 6 Authorization and Statutory National Requirements
The latest edition of the General Terms and Conditions of Germanischer Lloyd is applicable. German law applies.
Germanischer Lloyd F578E / 2007-05 / IPO
Page 2 of 14
1 Objectives
1.2 National: Flag State requirements
International: IMO regulations + see also item 6.4
1.2.1 ISM-Code Objectives
All Where are the objectives of the company defined?
1.2.2 Safety Management objectives
All What are the main objectives? Give samples!
All How the objectives related to safety and pollution prevention can be achieved?
1.2.3 Rules and Regulations
M+ Are all Class & Statutory certificates valid and available?
M+ Are other certificates valid, e.g. for breathing apparatus, drinking water test etc.
M+ Are all certificates endorsed periodically as required?
M+ Conditions of Class are dealt with (no outstanding conditions and memorandum)
M+ How are you informed about new regulations or significant changes?
M+ Has annual office audit been endorsed on DOC, copy on board?
1.4 Safety Management System (SMS)
M+ What are the main functional requirements of the SMS
A short review of the SMM shall be part of every audit.
1 Objectives
1.2 Appropriate national and international rules and
regulations for the relevant ship are complied with
Are statutory certificates valid?
4 Designated person(s)
All Who is appointed as D.P. and how / where is this published?
All What is the role or function of the D.P.?
M+/O/E What are the authorities and responsibilities of the D.P.?
All How can you contact the D.P.?
M+/O/E To whom would you address Non-Conformities / deviations?
Assessment Result
Requirements does comply Remarks
yes no n.a.
4 Designated person(s)
- is (are) known on board
Assessment Result
Requirements does comply Remarks
yes no n.a.
Assessment Result
Requirements does comply Remarks
yes no n.a.
8 Emergency preparedness
8.1 - Potential emergency shipboard
situations are identified and described
Assessment Result
Requirements does comply Remarks
yes no n.a.
11 Documentation
11.1 Procedures for controlling documents and data
M+ Who is authorised to approve changes to documents?
All How can you check whether documentation is kept under control?
M+ How is the SMM distributed to different locations kept under control?
M+ Please indicate some of the last changes in the SMM!
11.2 Filing of documents
O/E/R How are the SMS related documents are filed on board?
M+ Which are the tasks involved and to whom are they assigned to ensure that only valid
documents are distributed to all relevant locations?
M+/O/E How are the changes received by the company are integrated in shipboard documentation?
11.3 SMM
M+ How many controlled sets of the SMM do you have on board? How to control this?
M+ Which is the most effective form to keep the SMS documentation on board?
M+ What measures are taken to ensure that the relevant information provided by the SMM can be
retrieved?
Possible evidence:
- Documents are dated and signed
- amendments to documents are dated and signed
- no obsolete documents (same document available twice with different revision status)
- people are aware of what to do with superseded / obsolete documents
Assessment Result
Requirements does comply Remarks
yes no n.a.
11 Documentation
Is evidence available that:
- Valid and approved documents are
available at all relevant locations