Combined Internal ISM, ISO & ISPS Audit Checklist

Ensuring comprehensive ISM/ISO/ISPS compliance is essential for maritime safety management, quality assurance, and vessel security. Systematic verification of International Safety Management (ISM) Code requirements, ISO quality management systems, and International Ship and Port Facility Security (ISPS) Code standards helps maintain certification status, ensures regulatory compliance, and protects crew, vessel, and cargo. Proper integrated management system auditing and documentation are critical for preventing non-conformities, maintaining continuous improvement, and ensuring safe, secure, and efficient maritime operations. Start your free digital inspection trial

ISM/ISO/ISPS Compliance Audit

Comprehensive Integrated Management System Verification Checklist

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Importance of ISM/ISO/ISPS Compliance Audits

Safety Management

Comprehensive ISM Code auditing ensures systematic safety management, proper risk assessment, emergency preparedness, and continuous improvement processes. Regular verification of safety objectives, management responsibility, human resources, and operational procedures maintains vessel safety culture and prevents incidents.

Quality Assurance

ISO quality management system auditing verifies document control, record management, internal audits, non-conformity handling, and corrective action processes. Systematic quality verification ensures consistent service delivery, customer satisfaction, and continuous improvement across all vessel operations and shore-based support.

Security Compliance

ISPS Code verification ensures proper ship security assessment, security plan implementation, security officer training, and security level response procedures. Regular security auditing protects vessels, crew, cargo, and port facilities from security threats while maintaining compliance with international maritime security standards.

Integrated Compliance

Combined ISM/ISO/ISPS auditing provides comprehensive verification of safety, quality, and security management systems, optimizes audit efficiency, reduces duplication, identifies systemic issues across management areas, and ensures cohesive organizational culture supporting excellence in maritime operations, regulatory compliance, and stakeholder protection.

1. Analysis of Data

Analysis of Data inspection requirements:

Are senior Officers aware, that deficiencies detected by external surveyors have to be reported by using the Occurrence Report Form, one Report for each deficiency?

Are Non Conformities, Accidents, Occurrences and Serious Incidents properly reported? (VA-041)

2. Assessment Review

Assessment Review inspection requirements:

Has a Ship Security Assessment been carried out since last Audit?
Are records of the last SSA available?

Are comments / action on the last SSA-review from CSO available?
Has a SSA-review been carried out in course of this audit (Report prepared and attached)?

3. Certification Verification and Control

Certification Verification and Control inspection requirements:

Is a valid Copy of the Document of Compliance (Company) available?

Is the Letter according ISM Code 3.1 available (Declaration of Company)?

Are the results of the certification audits available and satisfactory?

4. Company Security Officer

Company Security Officer inspection requirements:

Is a Company Security Officer for this ship appointed / declared?

Are the tasks of the company security officer defined?

5. Control of Non Conformity

Control of Non Conformity inspection requirements:

Is everybody on board aware, that deficiencies have to be reported? (VA-038)

Is the class status of the vessel valid?
Are damages and claims properly reported and followed up? (VA-057)

Place and Result of the last PSC

6. Declaration of Security

Declaration of Security inspection requirements:

Do SSO / Deputy have sufficient knowledge about the Declaration of Security?
Is there a retention period for Declarations of Security?

Is there a procedure about how to handle requests for a Declaration of Security by a Port Facility?
Is the SSO aware about the circumstances when a Declaration of Security has to be requested?

7. Environmental Protection

Environmental Protection inspection requirements:

Are environmental objects and program available?

Are environmental aspects available?

Are environmental targets available and understood?

8. Human Resources

Human Resources inspection requirements:

How is the Crew's Qualification checked prior to employment (by who) and how is it verified during signing on?
Is personnel appraised in regular intervals? Who appraises? What is the appraisal criteria? (VA-056)
If apprentices / cadets on board: are the training record books available, kept and signed monthly by the Master? (VA-046)

Are newly assigned crewmembers properly familiarised? Is a Safety Familiarisation carried out for all on-signing crew? Are the specific familiarizations carried out for nautical/ technical officers? (VA-047)
Is the Drug- and Alcohol Abuse Policy known to everybody and is the "limit" clearly understood?

Are the regulations regarding working and resting times for seamen clearly understood and are records kept accordingly and true? (Comparison with Log Books/ Bell Book) (VA-063)
Are SOLAS Training Manual and Fire Operational Booklet available in all mess rooms?

9. ISPS - Application

ISPS - Application inspection requirements:

ISPS Code's correct Application to this Ship?

Are the Flag State's Additional Requirements known?

Is Part B if applicable duly taken into account?

10. ISPS - Definitions

ISPS - Definitions inspection requirements:

Do Officers / Engineers have sufficient knowledge about the Terminology?

Is the "Company" identified?

11. ISPS - GENERAL

ISPS - GENERAL inspection requirements:

Are Objectives and Policy known as required?

Do Officers / Engineers know about the Functional Requirements?

12. Improvement

Improvement inspection requirements:

Is the Term "Corrective Action" clear and known by all Officers?
Is the term "Preventive Action / Action to prevent recurrence" known to all Officers?

Are Drills and Trainings to Prepare for Emergency Situations carried out as required and logged accordingly?
Has the Emergency Telephone Number been tested successfully?

13. Infrastructure and Work Environment

Infrastructure and Work Environment inspection requirements:

Is the company's general approach regarding Safety at Work understood by all crew? (VA-027 - everybody is himself responsible at first place for his own safety)
Procedure about entering tanks and other confined spaces

Regular checking on gangways and accommodation ladders
Maintenance of Ship, Engine and Equipment
Procedure about Hot Work

Is the procedure about Risk Assessments known? Are Risk Assessments carried out?
Preparation for an emergency (Material Safety Data Sheets available at Chemical- and Paint Store)

14. Internal Audits

Internal Audits inspection requirements:

Is the procedure regarding Internal Audits known by the Master and Senior Officers? (VA-44)

What was the result of the last internal Audit? Have all Non Compliances been closed out properly and all corrective and preventive actions been done?

15. Management Responsibility (HB-002)

Management Responsibility (HB-002) inspection requirements:

Is the Management Commitment known to be developing and improving the company's QSE System?
Is the company's understanding of Customer Focus known? Are the company's customers known?
Is the company's Quality, Safety and Environmental Protection Policy known? Are the main points - safe ship operation - safe working environment known?

Do the Officer's know about the Master's Overriding Authority and are they able to describe the main items of it?
Is the name of the appointed Designated Management Representative known by all crew? Is the name of the Designated Person Ashore known by all crew?
Is the Safety Officer appointed by the Master?

Are all (Senior) Officers aware that the communication with Charterers, Agents and Authorities can only be done by the Master (and in his name)?n to the company goes through the Master, but can be written by every crew member?
Does the Master carry out a System Review on a regular basis? (as part of his written handover)
Is the Company's general declaration about Shipboard Security known to all crew?

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16. Monitoring and Measuring

Monitoring and Measuring inspection requirements:

Are vessels and Engine Operational Data being properly recorded? (Log books, PIM etc.)
Are officers aware about external technical surveys and how an external surveyor is to be treated? (VA-034)

Are Lifesaving- and Firefighting Appliances regularly inspected and is the Safety Officer aware about the requirements of carriage?
Is critical equipment regularly checked and are records available? (See PMS)

Do technical Officers know the term "Final Inspection"? (VA-032)
Are records available in any form regarding customer satisfaction? If yes, are they forwarded to the respective departments?

17. Obligations of the Company

Obligations of the Company inspection requirements:

Is the Master's overriding Authority clearly defined?
Does the company provide sufficient support to CSO / Master / SSO?

Is the responsible party for the appointment of shipboard personnel defined?
Is the responsible party for decision about the ship's employment defined?

Are the parties of the charter party including contacts defined?

18. Purchasing

Purchasing inspection requirements:

Internal Requisitioning (VA-012)

External Purchasing (VA-013)

Receiving Inspection (VA-030)

19. Quality, Safety and Environmental Protection Management System

Quality, Safety and Environmental Protection Management System inspection requirements:

Is there a procedure about issuing and treating of important company wide information?
Is there a procedure about the Control of Documents of the Quality, Safety and Environmental Management System?

Is there a procedure about the Control of Documents and Data other than part of the QSE System and are Documents and Data controlled accordingly? (VA-010)
Are Records controlled as per procedure? (VA-043)

Is a Document Master List available on board the vessel?
Is a local system administrator appointed by the Master? Does he undertake the administration of original data media for the software used on board?

20. Trainings Drills and Exercises on Ship Security

Trainings Drills and Exercises on Ship Security inspection requirements:

Is the SHip Security Officer trained (if required Flag State Approved Training Course)?
Is personnel with specific security duties adequately trained?

Has personnel participated in Security Awareness Trainings?
Are Security Drills carried out regularly?

Are security exercises (with the company) carried out regularly?

21. Verification and Certification for Ships

Verification and Certification for Ships inspection requirements:

Valid International Ship Security Certificate available?

Are the results of certification Audits satisfactory?

Have changes been taking place in the approved security system?

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Frequently Asked Questions About ISM/ISO/ISPS Compliance Audits

1. What are the key components of ISM/ISO/ISPS integrated audits?

Integrated ISM/ISO/ISPS audits cover 30 critical compliance areas including ISM Code requirements (safety management, emergency preparedness, non-conformity control, internal audits, management responsibility), ISO quality management (document control, purchasing, service provisions, monitoring and measuring, improvement processes), and ISPS Code requirements (ship security assessment, security plan, security officer duties, security levels, drills and exercises, certification verification). Comprehensive auditing ensures all three systems work together cohesively for optimal maritime operations.

2. How often should ISM/ISO/ISPS compliance audits be conducted?

Internal ISM/ISO/ISPS audits should be conducted annually for comprehensive system verification, quarterly for high-risk areas or recent non-conformities, before external certification audits to identify and correct deficiencies, after significant organizational changes affecting management systems, following incidents or near-misses requiring system review, and continuously through ongoing monitoring and measuring processes. Regular internal auditing ensures certification readiness and demonstrates commitment to safety, quality, and security excellence.

3. What documentation is required for ISM/ISO/ISPS compliance?

Essential ISM/ISO/ISPS documentation includes Document of Compliance (DOC) and Safety Management Certificate (SMC) for ISM, Ship Security Plan (SSP) and International Ship Security Certificate (ISSC) for ISPS, quality manual and procedures for ISO, ship security assessment records, internal audit reports and findings, non-conformity and corrective action records, management review minutes, training records and certification, emergency drill and exercise records, and continuous synopsis record. All documents must be controlled, current, and readily accessible for internal and external audits.

4. What are common non-conformities found during ISM/ISO/ISPS audits?

Common non-conformities include incomplete or outdated management system documentation, inadequate internal audit programs or audit findings not closed, insufficient emergency drill frequency or documentation, non-conformity reporting and corrective action processes not followed, inadequate seafarer training records or competency verification, security plan not properly implemented or maintained confidential, management review not conducted as required, document control procedures not consistently applied, risk assessments not updated or incomplete, and inadequate monitoring and measuring of key performance indicators. Proactive system maintenance prevents these deficiencies.

5. How can digital management improve ISM/ISO/ISPS compliance efficiency?

Digital compliance management systems enhance efficiency by providing centralized access to all management system documentation, automating internal audit scheduling and checklist distribution, tracking non-conformities and corrective actions with automated follow-up, maintaining complete audit trails demonstrating compliance, generating comprehensive reports for management review and certification audits, providing mobile access for shipboard and shore-based personnel, ensuring document version control and change management, analyzing compliance trends to identify systemic issues, scheduling automated reminders for certificate renewals and audit deadlines, and demonstrating continuous improvement commitment to certification bodies, flag states, and port state control authorities.

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