SOLAS Chapter IX International Safety Management ISM Code Audit
SOLAS Chapter IX requires every company and ship subject to ISM Code to hold a valid Document of Compliance (DOC) for the company and a Safety Management Certificate (SMC) for each ship, both issued by the flag state or a recognized organization. Internal ISM audits must be conducted at intervals not exceeding 12 months per ISM Code Section 12. This audit verifies that the Safety Management System (SMS) is effectively implemented across key elements: safety policy, risk assessment, emergency pre
- Industry: Transportation & Logistics
- Frequency: Annual
- Estimated Time: 20-30 minutes
- Role: DPA/Ship Safety Manager
- Total Items: 19
- Compliance: SOLAS 1974 as amended, IMO Resolution MSC, ISM Code
DOC and SMC Certificate Currency
Verify that the company DOC and ship SMC are within their validity periods and reflect current vessel operations.
- Company DOC current and covers ship types operated (not expired)?
- Ship SMC current and valid for the flag of registry?
- Copies of DOC and SMC available aboard vessel for Port State Control inspection?
- SMC expiry date:
SMS Implementation Verification
Assess whether the safety management system is actually implemented in day-to-day operations, not just documented.
- Crew familiar with their emergency duties and can describe them without reference to manual?
- Risk assessments completed for non-routine operations before work begins?
- Safety meetings held at required frequency per SMS and documented?
- Maintenance planned maintenance system (PMS) records up to date for all critical equipment?
Non-Conformity and Near-Miss Reporting
ISM Code Section 9 requires reporting and investigation of hazardous occurrences and non-conformities.
- Non-conformities and near-miss reports submitted in past 12 months reviewed?
- Root cause analysis completed for significant non-conformities?
- Corrective actions for past non-conformities verified as implemented?
- Number of non-conformities reported in past 12 months:
Emergency Preparedness and Drills
ISM Code Section 8 requires emergency procedures to be practiced through regular drills.
- Emergency drill schedule for the past 12 months reviewed; no missed mandatory drills?
- Emergency contact list for DPA, shipowner, and RCC current and posted on bridge?
- Master has unrestricted authority to take emergency actions as stated in SMS?
Internal Audit Completion and Management Review
Document the internal audit findings and confirm management review has been conducted per ISM Code Section 12.
- All major non-conformities from previous audit closed out?
- Management review of SMS effectiveness conducted in past 12 months?
- Non-conformities found in this audit (describe or None):
- Lead auditor signature and audit date:
Related Transport & Logistics Checklists
- SOLAS Chapter XI-2 ISPS Code Ship Security Plan Audit Checklist
- IMO MARPOL Annex I Oil Record Book - Machinery Space Operations
- IMO MARPOL Annex VI Air Emissions NOx/SOx Monitoring Checklist
- IATA DGR Section 9 Class 3 Flammable Liquids Acceptance Checklist
- IATA DGR Lithium Battery Shipment Compliance Checklist Section 4.2
- IATA DGR Dangerous Goods Shipper Declaration Verification Checklist
- IATA DGR Packaging & Marking Compliance Verification Checklist
- FAA 14 CFR Part 43 Maintenance Return to Service Record Checklist
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Why Use This SOLAS Chapter IX International Safety Management ISM Code Audit?
This solas chapter ix international safety management ism code audit helps transportation & logistics teams maintain compliance and operational excellence. Designed for dpa/ship safety manager professionals, this checklist covers 19 critical inspection points across 5 sections. Recommended frequency: annual.
Ensures compliance with SOLAS 1974 as amended, IMO Resolution MSC, ISM Code. Regulatory-aligned for audit readiness and inspection documentation.
Frequently Asked Questions
What is a SOLAS Chapter IX International Safety Management ISM Code Audit?
A SOLAS Chapter IX International Safety Management ISM Code Audit is a standardized inspection form used by dpa/ship safety manager to ensure consistent transportation & logistics operations. It contains 26 inspection points organized into 5 sections. FREE PDF - SOLAS Chapter IX ISM Code internal audit checklist. Covers Document of Compliance (DOC) and Safety Management Certificate (SMC) currency, SMS implementation verification, non-conformity reporting, and designated person ashore (DPA) responsibilities.
How often should I use this transportation & logistics checklist?
This checklist is designed to be completed annual. Regular use ensures compliance with SOLAS 1974 as amended and IMO Resolution MSC and helps identify issues before they become problems.
Can I download this SOLAS Chapter IX International Safety Management ISM Code Audit as a PDF?
Yes, you can download this checklist as a FREE PDF for printing or offline use. The checklist includes 26 fields across 5 sections and typically takes 20-30 minutes to complete.
What compliance standards does this checklist cover?
This checklist helps ensure compliance with SOLAS 1974 as amended, IMO Resolution MSC, ISM Code. Following these standards protects your organization and ensures best practices.
How do I complete this transportation & logistics inspection checklist?
Begin by completing the header fields for Facility / Location, Inspection Date, Inspector Name, and Permit / Reference Number. Work through each of the 5 sections, marking items Yes or No as applicable. Add notes for any issues found. Finally, complete the footer fields and add your signature. The entire process takes approximately 20 to 30 minutes.
What are the key sections in this transportation & logistics checklist?
This transportation & logistics checklist is organized into 5 key sections: DOC and SMC Certificate Currency, SMS Implementation Verification, Non-Conformity and Near-Miss Reporting, Emergency Preparedness and Drills, Internal Audit Completion and Management Review. Each section contains specific inspection points that dpa/ship safety manager must verify. The structured layout ensures nothing is missed during transportation & logistics inspections and makes the process efficient, typically taking 20-30 minutes to complete.
Who should use this SOLAS Chapter IX International Safety Management ISM Code Audit?
This checklist is primarily designed for dpa/ship safety manager working in transportation & logistics operations. However, it is also valuable for quality assurance teams, safety officers, compliance managers, and supervisors who need to verify that transportation & logistics standards are being met. Organizations of all sizes can benefit from using this SOLAS Chapter IX International Safety Management ISM Code Audit to maintain consistency and accountability.