Comments in box: Yes (X), No (-), or Not Applicable (NA)

Authorization No.:

International Safety Management Code (ISMCode)

DOC-Checklist for:

Company Document Review

Verification(1)

(For Company only)

In accordance with the ISMCode, as applicable, including the IMO Resolution A. 1022(26)

“Guidelines on the Implementation of the ISM Code by Administrations”

(as amended)

Place: / Date
( Place of issue of Checklist) / ( Day, Month, Year)
Name of Company
Address of Company
IMO Unique Company Identification Number:
The company operates the following types of ships: Comment in Box: Yes (X) or No (-)
Passenger Ship / X- / Chemical Tanker / X-
Passenger High-Speed Craft / X- / Gas Carrier / X-
Cargo High-Speed Craft / X- / Mobile Offshore Drilling Unit / X-
Bulk Carrier / X- / Other Cargo Ship / X-
Oil Tanker / X-

(1)Delete as Appropriate

No. / Questions / Company / Comments
Yes / No
Section 1. General (1.2 Objectives & 1.4 Functional Requirements for a Safety Management System)
1. / Has the Company documented the assessment of all identified risks to its ships, personnel and the environment and establish appropriate safeguards.
Has the Company documented the functional requirements given below:
-A safety and environmental-protectionpolicy?
-Instructions and procedures to ensure safe operation of ships and protection of environment in compliance with relevant International and FlagState legislation?
Defined levels of authority an lines of communication:
-Between shore and shipboard personnel?
-Amongst Company personnel?
-Amongst shipboard personnel?
-Between Company and shore authorities?
-Between ship and shore authorities?
-Procedures for reporting accidents and non-conformities with the provisions of ISM Code?
- Procedures to prepare for and respond to emergency situations?
- Procedures for internal audits and management review?
Section 2. Safety and Environmental-Protection Policy
2. / ISM-Code Reference: 2.1
Has the Company established a safety and environmental protection policy?
Is the policy signed by the highest level of management?
3. / ISM-Code Reference: 2.2
Does the policy describe how the objectives given in paragraph 1.2 will be achieved?
Additional comments:
No. / Questions / Company / Comments
Yes / No
Section 2. Safety and Environmental-Protection Policy
4. / ISM-Code Reference: 2.2
-Has the Company prepared a strategy for implementation and maintenance of the policy?
-Does the strategy apply to all levels of the organization, involved in the SMS and to ships?
Section 3. Company Responsibilities and Authority
(A copy of the Declaration of Company (DC) and Declaration of Designated Person (DPA) to be attached)
5. / ISM-Code Reference: 3
Have the full name and details of the entity been provided, who is responsible for the operation of ships the certification of which is requested?
6. / ISM-Code Reference: 3.2
Has the Company provided diagrammatic charts that describe the organization and interrelationships within SMS?
Is there a diagrammatic chart that describes shipboard organization?
7. / ISM-Code Reference:3.2
Do the documents specify the Regulations of Status of location (if any) involved in the SMS?
Has the Company defined responsibility and authority of shipboard and shore based personnel involved in SMS?
8. / ISM-Code Reference: 3.2
Has the Company defined the levels of competence and experience that are required for shipboard and shore based personnel involved in the SMS?
9. / ISM-Code Reference: 3.2
Has the Company implemented a procedure for collaboration with subcontractor?
Has the Company defined the responsibility and authority of subcontractors who carry out any functions relevant to the SMS?
Has the Company established the requirements for subcontractors?
Additional comments:
No. / Questions / Company / Comments
Yes / No
Section 3. Company Responsibilities and Authority
9. / ISM-Code Reference: 3.2
Does the Procedure provide that the functions imposed upon the subcontractors in compliance with the Company SMS requirements are carried out under the Company’s control?
Have the documents stipulated that the Company is responsible for the activities of sub-contractors carrying out any functions specified by the ISM Code?
10. / ISM-Code Reference: 3.3
Do the documents stipulate clearly that the Company is responsible for ensuring that adequate resources and shore-based support are provided to enable the designated person to carry out his functions?
Section 4. Designated Person (S)
11. / ISM-Code Reference: 4
-Has the Company designated a person or persons on shore?
-Does the designated person(s) have direct access to the highest level of management?
-Do the documents stipulates that the designated person(s) is (are) required to monitor the safety and pollution prevention of each ship?
12. / ISM-Code Reference: 4
-Has the responsibility and authority of the designated person(s) been defined?
Does the responsibility and authority of the designated person(s) include:
-Monitoring, amassment of data and determination of corrective action in the safety and pollution prevention areas related to operation of each ship?
-Ensuring that adequate resources and shore-based support are provided to each ship?
-Have the requirements for the qualification and experiences of the designated person(s) been defined?
Additional comments:
No. / Questions / Company / Comments
Yes / No
Section 4. Designated Person (s)
13. / ISM-Code Reference: 4
Has the Company developed procedures on communication link between the designated person(s) and ship which allow for formal exchange of information on matters that are relevant to the safe operation of ship and pollution prevention?
Section 5. Master’s Responsibility and Authority
14. / ISM-Code Reference: 5.1
Has the Company defined the Master’s responsibility and authority in the operation of ships and pollution prevention?
15. / ISM-Code Reference: 5.1
-Has the Company defined clearly and documented the master’s responsibility for the following:
-Implementation of the Safety and environmental protection policy?
-Motivating the crew in observation of that policy?
-Issuing appropriate orders and instructions in a clear and simple manner?
-Verifying that specified requirements are observed?
-Reviewing the SMS and reporting its deficiencies to the Company?
16. / ISM-Code Reference: 5.2
-Does the SMS contain a clear statement emphasizing the master’s authority?
-Has the Company established and documented that the Master has overriding authority and responsibility to make decision with respect to safety and pollution prevention?
-Has the Company established and documented that the Master has overriding authority and responsibility to request the Company’s assistance?
Do the familiarization Procedures require that all personnel are able to:
-Communicate with others on safety matters, understand safety information, symbols, signs and alarm signals?
Additional comments:
No. / Questions / Company / Comments
Yes / No
Section 5. Master’s Responsibility and Authority
16. / ISM-Code Reference: 5.2
-Know what to do in the event of abandonment, detection of fire or smoke, man overboard?
-Identify muster and embarkation station and emergency escape routes?
-Location of lifejackets?
-Raise the alarm and have knowledge of portable fire extinguishers?
-Close and open fire and watertight doors?
Section 6. Resources and Personnel
17. / ISM-Code Reference: 6.1
-Has the Company made a clear statement on the levels of qualification, training and experience required for master for each ship type?
-Does the Company have procedures to ensure that the Master is made fully conversant with the Company SMS?
-Has the Company clearly defined how the Master is given the necessary support to perform his duties safely?
18. / ISM-Code Reference: 6.2
The Company should ensure that each ship is:
-.1 manned with qualified, certificated and medically fit seafarers in accordance with national and international requirements; and
-.2 appropriately manned in order to encompass all aspects of maintaining safe operations on board*.
* Refer to the Principles of minimum safe manning, adopted by the Organization by resolution A.1047(27).
Additional comments:
No. / Questions / Company / Comments
Yes / No
Section 6. Resources and Personnel
19. / ISM-Code Reference: 6.3
-Has the Company established procedures to ensure that all new personnel and personnel transferred to new assignments are given proper familiarization on safety and environmental protection relevant to their duties?
Are basic instructions that are essential to be provided to the shipboard personnel prior to sailing, established and documented?
20. / ISM-Code Reference: 6.4
-Do the documents define procedures to ensure that all shipboard personnel involved in the Company SMS understand adequately and observe relevant rules, regulations, codes and guidelines?
-Do the documents ensure that there is an up-to-date list of all applicable international and national codes, guidelines, rules and regulations?
-Is there a Procedure in place to keep the library on shore up-to-date?
-Is there a Procedure in place to keep the shipboard up-to-date?
21. / ISM-Code Reference: 6.5
Have the training methods used in the Company been defined?
22. / ISM-Code Reference: 6.6
Has the Company established procedures by which the shipboard and shore-based personnel received all relevant information in the SMS in a working language or languages understood by them?
23. / ISM-Code Reference: 6.7
-Have the requirements for masters and navigation officers on ship of greater than 500 GRT, concerning their competence in English been clearly defined?
-Has the working language of the Company been defined?
Additional comments:
No. / Questions / Company / Comments
Yes / No
Section 7. Development of Plans for Shipboard Operations
24. / ISM-Code Reference: 7
Do the procedures identify qualified personnel responsible for the preparation of plans and instructions for shipboard operation?
-Has the Company identified shipboard operations relevant to its ships?
Does the Company have a list of shipboard operations?
-Have the plans and instructions for shipboard operations been developed and included in the list:
  1. Key Operations:

- Shipboard organization?
- Functional responsibilities?
- Reporting procedures (within the ship, ship to shore management, ship to external authority?
- Communications between ship and Company?
- Domestic inspection procedure (environmental health) by ship administration?
- Safety inspection procedure?
- Provision, composition, contents and maintenance of ship’s documents and records?
- Ballast Operations?
- High risk activities?
-Medical and first aid arrangements?
- System for issuing master’s standing orders and instructions?
- Procedures for controlling the crew’s working hours?
- High risk activities?
Additional comments:
No. / Questions / Company / Comments
Yes / No
Section 7. Development of Plans for Shipboard Operations
24. / - Medical and first aid arrangement?
- System for issuing master’s standing orders and instructions?
- Procedures for controlling the crew’s working hours?
2. Ships in Port:
- Accepting cargo?
- Loading and discharging procedures, inc. dangerous goods?
- Harbor watches and patrols, arrangements?
- Liaison with shore authorities?
- Monitoring trim and stability?
- Precautions against accidental spillage of liquid cargoes and ship’s bunkers?
-Use of reception facilities for oil, noxious liquids and garbage?
- Response to pollution incidents?
- Maintenance of harbor Watches?
- Preparing for reception, reception and accommodation of passengers?
- Bunkering?
3. Preparing for sea:
- Checking and recording of draughts?
- Checking stability condition?
- Assessment of weather conditions?
- Passage planning?
Additional comments:
No. / Questions / Company / Comments
Yes / No
Section 7. Development of Plans for Shipboard Operations
24. / - Securing of cargo, hatches and hull openings?
- Tests of engines, navigation and communications equipment, generators, emergency lighting and anchoring equipment?
4. The ship at sea:
- Bridge and engine room watch keeping arrangement?
- Special arrangements for bad weather?
- Special arrangements for fog?
- Special arrangements for ice conditions?
- Special arrangements for narrow waters?
- Special arrangements for ships congestion?
- Special arrangements for navigation with pilot on board?
- Radiocommunications, including the use of VHF?
- Manoenvring data?
- Security patrols and fire patrols?
- Discharge into sea of oily water from machinery space bilges, cargo residues from oil tankers, noxious liquids and garbage?
5. Preparing for arrival in port:
- Tests of engines, steering gear, navigation and communications equipment, generators, emergency lighting, anchoring and mooring equipment?
- Pilotage?
- Port information and communications?
- Mooring operations?
25. / ISM-Code Reference: 7
Do the documents provide for filling out check lists for special and critical operations?
Additional comments:
No. / Questions / Company / Comments
Yes / No
26. / ISM-Code Reference: 7
Have provisions been made for precontract preparing of ships that involves review of transportation offers?
27. / ISM-Code Reference: 7
Are there procedures for preparing ships for transportation in accordance with the contract signed?
Section 8. Emergency Preparedness
28. / ISM-Code Reference: 8.1
- Has the Company developed procedures for identifying potential emergency shipboard situations?
29. / ISM-Code Reference: 8.1
-Has the Company developed procedures for describing and responding to potential emergency shipboard situations?
-Do the procedures refer to applicable international and national rules, codes, guidelines and other regulations of the Flag Administration?
30. / ISM-Code Reference: 8.1
-Do the procedures detail the shipboard emergency organization?
-Do the procedures give guidance on the methods of internal communication to be used in a emergency?
-Do the procedures provide guidance to the master on obtaining assistance from third parties?
-Do the procedures indicate emergency reporting requirements, including ship to company, ship to shore based emergency organizations?
-Do the procedures give guidance on means of maintaining communication throughout the emergency?
-Do the procedures allocate specific responsibilities to shipboard personnel in handling emergencies?
Additional comments:
No. / Questions / Company / Comments
Yes / No
Section 8. Emergency Preparedness
31. / ISM-Code Reference: 8.1
-Do the procedures give guidance on dealing with the following range of possible emergency scenarios:
-Shipboard fires?
-Emergency evacuation and abandonment?
32. / ISM-Code Reference: 8.2
Has the Company established procedures for holding emergency drills and exercises?
-Do the procedures provide for joint (ship to the Company) drills and exercises?
-Do the procedures provide for recording all drills and exercises?
33. / ISM-Code Reference: 8.3:
-Has the Company established procedures for the shore based emergency organization?
-Do the procedures allocate specific responsibilities to person in the shore based emergency organization?
-Do the procedures provide guidance on establishing and maintaining communications with other emergency assistance organizations?
-Do the procedures give guidance on mean of maintaining communication throughout the emergency?
34. / ISM-Code Reference: 8.3
Has the Company established a Procedure describing its ability to respond at any time to hazards, accidents and emergency situations involving its ships?
Additional comments:
No. / Questions / Company / Comments
Yes / No
Section 9. Reports and Analysis of Non- Conformities, Accidents and Hazardous Occurrences
35. / ISM-Code Reference: 9.1
-Has the Company developed procedures for ensuring that non-conformities, accidents and hazardous occurrences are reported to the Company?
-Has the Company developed procedures for ensuring that non-conformities, accidents and hazardous occurrences are investigated and analyzed?
-Are specific responsibilities allocated to persons in the reporting of non-conformities, accidents and hazardous occurrences?
Section10. Maintenance of the Ship and Equipment
35. / ISM-Code Reference: 9.1
-Have the report forms been set?
-Are there clear instructions on how to fill out the report forms?
36. / Has the Company established procedures for correcting the deficiencies found?
37. / ISM-Code Reference: 10.1
-Has the Company established procedures to ensure that the ship is maintained in conformity with the provisions of the relevant rules and regulations and with any additional requirements which may be established by the Company?
-Are shipboard personnel allocated specific responsibilities in implementing the above procedures?
-Do shore-based personnel have responsibility for overview of shipboard maintenance to ensure that system is effective?
Have preventive maintenances procedures been developed and implemented for the following:
-Hull and superstructure steelwork?
-Safety, fire-fighting and anti-pollution equipment?
Additional comments:
No. / Questions / Company / Comments
Yes / No
Section10. Maintenance of the Ship and Equipment
37. / ISM-Code Reference: 10.1
-Navigational equipment?
-Steering gear?
-Anchoring and mooring equipment?
-Main engine and auxiliary machinery?
-Pipelines and valves?
-Cargo loading/discharging equipment?
-Inerting system?
-Communication equipment?
-Waste disposal equipment?
-Fire, gas and heat detection system?
Section10. Maintenance of the Ship and Equipment
38. / ISM-Code Reference: 10.2
Has the Company ensured that the maintenances procedures incorporate the following features:
-Maintenance inspections held at appropriate intervals?
-Reporting of defects during maintenance with their possible causes?
-Maintenance of adequate records of these activities?
39. / ISM-Code Reference: 10.3
-Has the Company developed a procedure for identifying critical shipboard equipment and technical system whose sudden failure may result in hazardous situation?
Additional comments:
No. / Questions / Company / Comments
Yes / No
Section10. Maintenance of the Ship and Equipment
39. / Has the Company established a typical list of critical system for its ship types?
Do the procedures establish clearly the need for identifying critical system for each particular ship?
-Do the critical system include the following:
-Alarms and emergency shutdowns?
-Fuel oil system integrity?
-Cargo system integrity?
-Emergency equipment?
-Safety equipment?
-Has the Company developed procedures for testing stand by arrangements and equipment or technical systems that are not in continuous need?
Section 11. Documentation
40. / ISM-Code Reference: 11.1
-Has the Company established procedures for controlling all documents and data which are relevant to the SMS?
-Do the procedures enable the reader to identify the revision status of the documents and the dates of issue
-Has the Company identified the legal status of the documents?
41. / ISM-Code Reference: 11.2
-Has the Company established procedures for ensuring that:
-Valid documents are available al all relevant locations of the Company and on board ships?
Additional comments:
No. / Questions / Company / Comments
Yes / No
Section 11. Documentation
41. / ISM-Code Reference: 11.2
-Changes to the documents are reviewed and approved by authorized personnel?
-Obsolete documents are promptly removed?
-Has the Company identified the personnel responsible for implementing the control procedures?
42. / ISM-Code Reference: 11.3
-Has the Company defined the composition of the SMS documentation consisting of office and ship-based Manual?
-Have the documentation been approved by the highest level of the Company Management?
43. / ISM-Code Reference: 11.3
-Has the Company established procedures for ensuring that all necessary SMS related documents are made available to relevant locations of the Company and to ships?
-Has the Company established procedures for ensuring that the SMS related documents are timely changed or amended at the locations of the Company and on board ships?
Section 11. Documentation
44. / ISM-Code Reference: 11
-Has the Company established a list of necessary international and national rules and regulations?
-Has the Company established a list of applicable recommendations of IMO and other maritime industry organization?
Additional comments:
No. / Questions / Company / Comments
Yes / No
Section 12. Company Verification, Review and Evaluation
45. / ISM-Code Reference: 12.1
Has the Company developed procedures for carrying out internal safety audits of shore-based offices and departments and ships?
-Do the procedures stipulate scheduling the internal safety audits?
-Do the procedures identify the qualification, education and experience requirements for internal safety auditors?
-Is the scope and purpose of the internal safety audit defined by the procedures?
46. / ISM-Code Reference: 12.2
The Company should periodically verify whether all those undertaking delegated ISM-related tasks are acting in conformity with the Company's responsibilities under the Code.
46. / ISM-Code Reference: 12.3
Has the Company established review procedures that require periodical evaluation of the SMS efficiency?
Do the procedures ensure that the SMS reviews are conducted into the following:
-Internal audit findings?
-Analyses of accidents, emergency situations and non-conformities?
-Recommendations following class and statutory surveys?
-Considerations for updating the system in the light of changing circumstances?
Additional comments:
No. / Questions / Company / Comments
Yes / No
Section 12. Company Verification, Review and Evaluation
47. / ISM-Code Reference: 12.4
Do the procedures require the auditor to make a written audit report?
Has the written audit report been documented?
Do the procedures require determination of corrective actions for the non-conformities identified?
Do the procedures require the corrective actions to be closed out by a certain date?
48. / ISM-Code Reference: 12.5
Has the Company established procedures for the selection of internal SMS Auditors?
Do the procedures ensure that the internal SMS auditors are independent of the areas being audited?
49. / ISM-Code Reference: 12.6
Has the Company established procedures for ensuring that the results of internal and review are brought to the attention of all the personnel who have responsibility for the area of activity being audited?
50. / ISM-Code Reference: 12.7
Has the Company established procedures for ensuring that management personnel with responsibility for the area of activity being audited are required to determine and take timely corrective action on the deficiencies found?
Additional comments:

ISMCode/DOC-Checklist for Company Review (2015/01) 1/19