Doc No.

: HSSEQ-1009
Issue/Date: 3.0/ 25-Dec-19
Ship Internal Audit Report [IMS] Retention: 3 Years
Location: S-MS-01

6. Sample Questionnaire for Auditing Combined ISM Code, ISO:14001 & ISO:45001
[The concept of this questionnaire is to provide samples for carrying out audit, actual audit to be progressed according to the
audit-trails as relevant to the response receive from the auditees]
Questions Auditee Reference Findings
Is a copy of company valid DoC available on board, when was the
Master
latest verification?
Is an updated ship’s certificate status available for review? Master
What is the company specified alcohol limit and how many ways to
Master
ensure compliance to this as per procedure?
Are you aware of Master’s overriding authority, where it is available
Master
and when to apply?
How do you ensure company procedures are kept updated as per the
Master
latest international and statutory regulations?
Do you have an audit/inspection plan, are records updated? Master
Do you have the last internal and external audit report available on
Master
board, was any of the observation overdue?
How do you ensure that ship’s log and records are correct, who
Master
verifies the deck log, official log, GMDSS and other logs?
Did you issue a Master’s standing order to ship-staff, how do you
Master
ensure it ship specific and effective for the place/day?
Do you have a company KPI Objective given, how to record? Master
How frequent emergency drills are carried out, do you maintain a
Master
schedule followed up with office?
Do you have a proper record of Master’s hand-over checks? Master
What is risk-based thinking, what is the risk-management process,
Master
share various control measures and record?
What is the company procedures for carrying out hot-work? Master
How do you ensure that ship-staff, agents, external workers and other
parties involved with ship are communicated of ship specific Master
environmental & occupational health aspects?
Are you sure that the aspect and impacts registers are up to date
Master
basis current situation as per local & international laws?
What is the company procedure for controlling classified or restricted
Master
documents, SSP and SMS manuals?
Are the Flag, Company circulations available, up to date and known to
Master
all staff?
Did you ask for at this port or what is the latest regulatory
requirement you have received from external agency (e.g. agents,
ports, charterers or service providers) with regards to safety of
Master
navigation, environmental (e.g. funnel smoke/soot control,
incineration prohibition, sulphur emission, garbage, ballast or slop
disposal etc.)
Can you share some possible environmental implication (e.g. air,
water of land) or occupational health complications that might arise
Master
from various maritime accidents, how do you ensure these are
mitigated in plan and action of emergency?
Can you also share some training given to ship-staff for identification
of shipboard aspects of environmental impacts from various Master
operational, maintenance and emergency acts?
What is company policy about customer’s satisfaction? What are
shipboard actions required to ensure it being monitored, recorded Master
and suggestion for improvement incorporated?

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 Doc No.: HSSEQ-1009
Issue/Date: 3.0/ 25-Dec-19
Ship Internal Audit Report [IMS] Retention: 3 Years
Location: S-MS-01

Which procedure requires Master to review company management

Master
manuals and can you show the last records?
Show me the last monthly vessel condition report that was sent to the
Master
company and follow-up actions suggested?
What is guidance by company to categorize and follow-up PSC
Master
deficiency, external audit or inspection observations?
Can you explain emergency reporting procedure, where and how do
you ensure ship-staff are aware of it? Do you have an emergency
Master
report format and guidance when you need to engage P&I, SOPEP,
SERS or other emergency contacts?
What is the company guidance of rest-hour management, how to
Master
confirm it’s being complied with (including Master)?

Name all company manuals, explain level of various manual? Ch. Offcr
Who comprises of safety committee on board, what are the fixed
Ch. Offcr
agenda and how do you ensure free-discussion?
Who is the ship’s Occupational Health & Safety officer, who has
Ch. Offcr
delegated and what additional responsibility of OSO?
What additional inspection do you carry-out relevant to occupational
Ch. Ofcr
health and safety, what frequency and records?
Who would assume the ship’s command during absence or incapacity
Ch. Ofcr
of Master, where it is specified, how to discharge such responsibility?
Do you have any guidance on various operational policies which part
of the policy statements details on Environmental and occupational Ch. Offcr
health objectives by the company?
Do you maintain a shipboard work schedule for all staff during
Ch. Offcr
routine and emergency situation, last updated?
Which are the activities required permit-to-work to be issued and
Ch. Offcr
show all PTW (including Hot-Work) records?
What do you understand about risk-management and risk-based
Ch. Ofcr
thinking, what procedure are being followed for risk?
What is the procedure to be followed for enclosed space entry? How
do you ensure correct procedure for cargo pump-room entry is Ch. Ofcr
followed by ship-staff?
Can you share company specified interval of measuring and
Ch. Offcr
monitoring equipment, calibration to ensure correctness?
Do you have any guideline for use, equipment list and records for ex-
Ch. Offcr
type equipment maintenance?
Who is responsible for maintaining LSA-FFA on board, share the
Ch. Offcr
records and periodical verification?
What are the emergency situations identified by company
Ch. Offcr
management manual and what is the schedule of drills?
Who is the person responsible for investigation of accident and
Ch. Ofcr
incident investigation on board, what is the procedure?
Is there a procedure available for reporting accidents, incidents, near-
miss, unsafe situation or acts- how it is to be dealt with and records of Ch. Ofcr
such reports/follow-up?
Who is required to manage the control of ballast water? Can you
Ch. Ofcr
show the ballast management plan & records?
Are you required to take daily soundings of tanks/void space and
Ch. Ofcr
record them in the Sounding Book and Deck Log Book.
Can you show me the stress and stability information during and on
completion of loading of cargo? Can you show me the last time that Ch. Ofcr
the loading computer was checked?

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 Doc No.: HSSEQ-1009
Issue/Date: 3.0/ 25-Dec-19
Ship Internal Audit Report [IMS] Retention: 3 Years
Location: S-MS-01

Show me your standing instructions about cargo operation and plans

Ch. Ofcr
for current operation?
Where do you find information on types of cargo the vessel is
Ch. Ofcr
permitted to carry or specific instruction by shipper?
What is the procedure for COW and tank cleaning? Records of last
Ch. Ofcr
operations and training to ship-staff?
Can you show the records of ship-shore/STS checklist, proper
Ch. Ofcr
understanding of all OOW and record-keeping?
Is the MSDS available for cargo, paints, chemicals available? Any
Ch. Ofcr
training provided to ship-staff on occupational hazards?
Can you show required frequency of COT, WBT, FWT and void-space
Ch. Offcr
internal inspection and all previous records?
Can you show me the frequency, record of inspection of mooring
Ch. Ofcr
ropes and equipment? Is it included in PMS?
Can you show the equipment list, calibration certificates for the
Ch. Ofcr
portable gas analysers, training of use and calibration?
What is the procedure for garbage and waste management, how do
you ensure disposal as per MARPOL requirement and records of Ch. Ofcr
disposal? Training provided to ship-staff?
How is the shipboard maintenance plan, daily and yearly schedule,
Ch. Ofcr
reporting to office and defect reporting process?
Do you know calculation of ships damage stability condition and do
you have a regular check with given conditions in the damage Ch. Ofcr
stability booklet?
Who are the ship’s training officer? How are the contingency and
operational trainings conducted and records maintained as per the Ch. Ofcr
given schedule of training? PTW & RA Training?

Can you explain your responsibilities and authorities as chief

engineer, where is it available? Who is the EPO and what additional Ch. Engr
roles do you have?
Can you show your take-over document from the previous chief
engineer? Did you have any concerns during take-over and was it Ch. Engr
notified to company after take-over?
Describe when you can be absent from the vessel and who will be
Ch. Engr
authorized in your absence?
Are you aware of the company environmental policy and objectives,
how do ensure these are monitored monthly and reviewed by the Ch. Engr
company?
What are the names of company management system manuals,
location where available, how do you review and contribute to Ch. Engr
improve those documents?
Do you have any guidance on various operational policies which part
of the policy statements details on Environmental and occupational Ch. Engr
health objectives by the company?
Which are the activities required permit-to-work to be issued and
Ch. Engr
show all PTW (including Hot-Work) records?
What do you understand about risk-management and risk-based
Ch. Engr
thinking, what procedure are being followed for risk?
What is the procedure to be followed for enclosed space entry? How
Ch. Engr
do you ensure ER staff knows about PTW?
Can you show the daily/weekly record of fuel tanks or bilge tanks
Ch. Engr
sounding? Who is responsible for verification records?
How do you ensure all oil transfer/discharge operations in ER are
Ch. Engr
being done as per MARPOL, show records in ORB?

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 Doc No.: HSSEQ-1009
Issue/Date: 3.0/ 25-Dec-19
Ship Internal Audit Report [IMS] Retention: 3 Years
Location: S-MS-01

Can you show the pre-load/transfer plans for bunkering, is it within

maximum allowable limit from company? Show the last bunkering Ch. Engr
checklist. Minimum bunker ROB maintained?
Which procedure requires vessel to carry-out fuel oil & lube oil
analysis by shore at specified interval? Are results being followed-up Ch. Engr
with corrective actions as per office advice?
Are equipment and technical systems, of which the sudden
operational failure may result in hazardous situations, identified as
Ch. Engr
critical within the PMS? How do you carry-out repair or maintenance
of critical equipment/machinery?
Can you show planned maintenance system of the ship? How do you
assign a work-order, job-done and send report to office? Did you
Ch. Engr
receive any reminder from the office for any overdue item? How to
update new job in PMS?
What are the maintenance history of following machinery:
Ch. Engr
Main engine, Genset-1, Boiler, OWS, GS Pump, Em Fire P/P
What are the daily, weekly, monthly and quarterly report send to the
office? Can you show response you have received from office in Ch. Engr
review of the ship’s report?
Are you required to maintain a defect-list? Which company procedure
describes it, how to deal defects and share the current status of ships Ch. Engr
defect list?
How frequent do you require to make inspection of vessel as per
Ch. Engr
company, show me the last inspection report?
Do you have copy of technical inspection carried-out, follow-up
Ch. Engr
actions available and closed-out?
Who is responsible to raise stores and spares requisitions? Can you
Ch. Engr
show the last requisition raised & current status?
How do you manage ship’s spare part inventory? Show the
Ch. Engr
consumption and ROB status? Critical spares available?
Where are the ship’s drawing and pipelines plan? Can you share the
Ch. Engr
fuel oil pipeline and dry-docking plan?
Let me see entries in the ER log-book & C/E night-orders? Ch. Engr
Do you have a work-schedule for ER staff and how do you ensure
Ch. Engr
proper rest of ER personnel, including Ch. Engineer?
When was the last training provided to ER staff on routine operational
Ch. Engr
and maintenance of ship-type machinery?

Can you show me shipboard familiarization upon boarding? 2nd Off

What is your primary responsibility as 2nd officer specified in SMS
2nd off
manual and additional duties on board?
Do you have guidance for mandatory publications for this type of
2nd off
ship, how do and how frequent you keep it updated?
Do you have the latest edition of SOLAS, COLREG, Code of Safe
2nd off
Working Practice and International Code of Signals?
Share me the latest 2 passage plan including all relevant checklists
2nd off
and calculation sheets? ECDIS routes included?
What is the company guidance on UKC policy and what to do if the
2nd off
UKC policy can’t be maintained at any occasion?
Where is the company guidance on use and setup safety parameters
2nd off
on ECDIS? Are you familiar to use of the same?
How to ensure that BAC, ENC, Publication (Paper or e-Pubs) are up to
2nd Off
date, what is the latest weekly correction received?

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 Doc No.: HSSEQ-1009
Issue/Date: 3.0/ 25-Dec-19
Ship Internal Audit Report [IMS] Retention: 3 Years
Location: S-MS-01

How do you ensure that T&P and NavWarnings are applied to vessel’s
2nd off
current and intended voyage?
Do you have a company guidance or Master’s standing order for
bridge watch-keeping, manning-level and the occasions when Master 2nd off
to be called on bridge?
What do you understand on ISO:14001 (EMS) & ISO:45001 (OH&S)
2nd off
standards and specific requirement from the ship?
What is the company drug-alcohol (D&A) policy and alcohol limit
2nd off
prior to taking up watch?
What is the frequency of shore/ship testing D&A? When was the last
2nd off
testing by shore and by ship-equipment?
Who is responsible for prescribing medicine (MO) and inventory of
2nd Off
medicines? Certification for MO and Chest?
Show me the list of navigational and communication equipment on
2nd Off
board? Routine check and service report?
Do you have a list of country flags, ALDIS lamp with spare bulbs,
2nd Off
Peloras, gong and shapes required as per COLREGs?
When was the last navigational audit conducted by Master and any
2nd off
items still pending for close-out?
Who is responsible for maintenance of GMDSS equipment and what
2nd off
are the test conducted periodically?
Where can you find person responsible for communication during
2nd off
emergency situation? How to send distress message?
What procedure do you need to follow when Oil Spill or Collision with
2nd off
other vessel at sea? VDR records and reset?
When was the last steering gear testing carried-out? Change over
2nd off
procedure for emergency steering?
How frequent do you take compass errors, deviation curve? 2nd off

Do you calculate position by celestial sight, last date? 2nd off

What is company requirement for ship’s noon/daily report? 2nd off

What are the bridge checklist required in port and at sea? 2nd off

Do you know how to do risk assessment and risk controls? 2nd off
Are you aware of the company near-miss, unsafe act or situation
2nd off
reports? When was the last reported by you?

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