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ARS Excelsoft-Maritime Digital Solution and Compliance tools

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Shipping Company Internal/External Audit Checklist
Aligned with ClassNK / ISM Code / ISO-style audits
AUDIT REPORT COVER PAGE
Company
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Vessel
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IMO No.
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Port / Location
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Audit Ref.
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Audit Date
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Inspector
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Scope / Type
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Note: This checklist and all entries are stored locally in this browser (LocalStorage) unless exported.
Overall Result
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NC Count
Observation0
Minor Non-Conformity0
Major Non-Conformity0
Prepared By
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Audit Details

Auto-saved on this device (LocalStorage)
Saved

Internal/External Audit– Checklist, Evidence & Grading

Each item is graded automatically based on Status (OK / OBS / Minor NC / Major NC / N/A). Adjust scoring weights in the script if needed.

Audit Control Form
Company Name
Audit Reference No.
Audit Date
Audit Type
Audit Scope / Department
Audit Criteria / References
Audit Team / Participants
Overall Compliance Score 0% Formula: OK=1, OBS=0.75, MINOR_NC=0.5, MAJOR_NC=0, NA excluded
FAIL
Answered Items 0 Items with selected Status (excluding blank).
0% Coverage
Target Level 90% You can change target below.
Target
Grading Target (%)
Example: 90% = acceptable; below target requires improvement action plan.

A. Management & Company Policy ISM 1 / Policy

Items: 5
Item Requirement Status Evidence / Remarks Photo Evidence
A1

Company Safety & Environmental Protection Policy established

Verification guidance
  • Confirm a formal Company Safety & Environmental Protection Policy exists and is approved.
  • Verify policy is current (latest revision) and controlled.
  • Confirm policy is communicated to office & vessels (posting/briefing).
Typical evidence: Signed policy, SMS Manual/policy register, Posting photo, Briefing/familiarization record
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A2

Policy signed by top management

Verification guidance
  • Verify policy is signed and dated by Top Management (authorized signatory).
  • Confirm signature/approval matches document control record.
Typical evidence: Signed approval page, Document control register
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A3

Policy communicated and available to all personnel

Verification guidance
  • Check policy availability to all relevant personnel (office and shipboard).
  • Confirm new joiners receive SMS/policy familiarization.
Typical evidence: Posted policy photo, Familiarization checklist, Induction record
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A4

Management commitment demonstrated

Verification guidance
  • Verify management commitment via resources, objectives, and participation.
  • Confirm performance is reviewed and actions are tracked.
Typical evidence: Management review minutes, KPI report, Action tracker
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A5

Objectives and KPIs defined and monitored

Verification guidance
  • Confirm measurable objectives/KPIs are defined for safety & environment.
  • Verify monitoring frequency and corrective actions for gaps.
Typical evidence: Objectives/KPI list, Monthly/quarterly KPI report, Improvement actions
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B. Safety Management System (SMS) Documentation ISM 11

Items: 5
Item Requirement Status Evidence / Remarks Photo Evidence
B1

SMS Manual approved and controlled

Verification guidance
  • Verify SMS Manual is approved, controlled, and available (office & vessels).
  • Confirm issue/revision status and approval authority.
Typical evidence: Controlled SMS Manual, Revision history/approval page, Distribution list
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B2

Latest revision available ashore and onboard

Verification guidance
  • Verify latest revision is available at point of use (hardcopy/electronic).
  • Confirm superseded versions are withdrawn.
Typical evidence: Revision register, Copy check record, Old copy withdrawal evidence
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B3

Document control procedure implemented

Verification guidance
  • Confirm document control procedure exists and is implemented.
  • Check numbering, approvals, distribution, and change control.
Typical evidence: Doc control procedure, Document register, Sample controlled forms
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B4

Obsolete documents removed

Verification guidance
  • Verify obsolete documents are identified and removed from circulation.
  • Confirm electronic folders are controlled with access rights.
Typical evidence: Obsolete list, Folder access settings, Withdrawal record
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B5

Circulars and instructions properly issued

Verification guidance
  • Verify circulars/instructions are issued, acknowledged, and implemented.
  • Confirm tracking of receipt and closing actions.
Typical evidence: Circular log, Acknowledgement records, Implementation evidence
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C. Company Responsibilities & Authority ISM 3 / 4

Items: 4
Item Requirement Status Evidence / Remarks Photo Evidence
C1

Designated Person Ashore (DPA) appointed

Verification guidance
  • Confirm DPA is formally appointed with documented responsibilities.
  • Verify appointment is communicated to vessels/office.
Typical evidence: DPA appointment letter, Org chart, Responsibility matrix
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C2

DPA authority and responsibilities defined

Verification guidance
  • Verify DPA authority includes access to top management and escalation process.
  • Confirm responsibilities are defined in SMS and understood.
Typical evidence: SMS section on DPA, Interview record, Management statement
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C3

Emergency contact details available 24/7

Verification guidance
  • Verify 24/7 emergency contact list is available and current.
  • Test accessibility and update control.
Typical evidence: Emergency contact list, Distribution record, Test call/log (if applicable)
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C4

Organizational chart up to date

Verification guidance
  • Confirm organizational chart is updated, controlled, and matches actual structure.
  • Verify roles/responsibilities and reporting lines are clear.
Typical evidence: Org chart, Job descriptions, Responsibility matrix
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D. Personnel & Training ISM 6 / STCW

Items: 5
Item Requirement Status Evidence / Remarks Photo Evidence
D1

Crew certification valid and compliant with STCW

Verification guidance
  • Verify crew certificates/endorsements are valid for rank/trade and flag requirements.
  • Confirm monitoring system for expiry and renewals.
Typical evidence: Certificates/endorsements, Crew matrix, Expiry tracking report
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D2

Training matrix established

Verification guidance
  • Confirm training matrix is established for office and shipboard roles.
  • Verify training needs, completion, and refresher intervals.
Typical evidence: Training matrix, Training plan, Completion records
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D3

Safety familiarization conducted

Verification guidance
  • Verify safety familiarization is conducted for new joiners (office/ship).
  • Confirm familiarization covers SMS, PPE, emergency, reporting.
Typical evidence: Familiarization checklist, Signed records, Induction materials
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D4

Records of drills and training maintained

Verification guidance
  • Verify drill/training records are maintained and reviewed for effectiveness.
  • Confirm corrective actions from drills are tracked.
Typical evidence: Drill reports, Training logs, Action tracker
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D5

Competence evaluations performed

Verification guidance
  • Confirm competence evaluations are performed and recorded.
  • Verify corrective training/coaching for gaps.
Typical evidence: Competence assessment, Appraisals, Training follow-up
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E. Shipboard Operations ISM 7

Items: 5
Item Requirement Status Evidence / Remarks Photo Evidence
E1

Procedures for key shipboard operations available

Verification guidance
  • Verify procedures exist for key operations (navigation, cargo, bunkering, mooring, etc.).
  • Confirm procedures are available at point of use and understood.
Typical evidence: Operational procedures, Interviews, Toolbox talk records
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E2

Risk assessments conducted and recorded

Verification guidance
  • Confirm risk assessments are performed for operations and changes.
  • Verify controls, responsible persons, and review/approval.
Typical evidence: Risk assessment/JSA forms, Change management records, Toolbox records
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E3

Permit-to-Work system implemented

Verification guidance
  • Verify Permit-to-Work system is implemented (hot work, enclosed space, working aloft, etc.).
  • Check completeness, approvals, and monitoring.
Typical evidence: PTW forms, Gas test records, Supervision logs
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E4

Toolbox meetings conducted

Verification guidance
  • Confirm toolbox meetings are conducted prior to relevant jobs.
  • Verify attendance, hazards, controls, and communication.
Typical evidence: Toolbox talk forms, Attendance sheets, Job brief records
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E5

Safety equipment available and maintained

Verification guidance
  • Verify safety equipment is available, certified, and maintained.
  • Confirm inspections and defect reporting are effective.
Typical evidence: Inventory list, Inspection checklists, Certificates, Defect reports
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F. Emergency Preparedness ISM 8

Items: 5
Item Requirement Status Evidence / Remarks Photo Evidence
F1

Emergency response procedures established

Verification guidance
  • Verify emergency response procedures exist for identified scenarios.
  • Confirm procedures align with company ERP and shipboard plans.
Typical evidence: ERP/SMS procedures, Emergency manuals, Call tree/contact list
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F2

Emergency drills conducted as scheduled

Verification guidance
  • Confirm drills are conducted per schedule and evaluated.
  • Verify follow-up actions are recorded and closed.
Typical evidence: Drill schedule, Drill reports, Corrective actions
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F3

Shore-based emergency support verified

Verification guidance
  • Verify shore-based emergency support availability and responsibilities.
  • Confirm call-out process and resources.
Typical evidence: ERP roles & call tree, Contact list, Exercise records
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F4

Drill records reviewed and evaluated

Verification guidance
  • Confirm drill records are reviewed for lessons learned and improvements.
  • Verify communication to vessels/office.
Typical evidence: Review minutes, Lessons learned circulars, Training updates
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F5

Lessons learned documented

Verification guidance
  • Verify lessons learned are documented and integrated into SMS.
  • Confirm distribution and effectiveness verification.
Typical evidence: Lessons learned log, Revised procedures, Briefing records
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G. Reports, Accidents & Non-Conformities ISM 9

Items: 5
Item Requirement Status Evidence / Remarks Photo Evidence
G1

Reporting procedures established

Verification guidance
  • Verify reporting procedures exist for incidents, near misses, hazards, and NCs.
  • Confirm reporting channels and timelines are clear.
Typical evidence: Reporting procedure, Report forms, Communication circulars
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G2

Near-miss reporting encouraged

Verification guidance
  • Confirm near-miss reporting is encouraged and implemented without blame.
  • Verify feedback to reporters and trend review.
Typical evidence: Near-miss log, Safety meeting minutes, Feedback records
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G3

Corrective actions implemented

Verification guidance
  • Verify corrective actions are implemented with responsible persons and due dates.
  • Confirm closure evidence is retained.
Typical evidence: CAPA log, Action tracker, Closure evidence
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G4

Root cause analysis performed

Verification guidance
  • Confirm root cause analysis is performed for relevant events.
  • Verify RCA method and preventive actions.
Typical evidence: RCA reports, 5-Why/Fishbone, Preventive actions
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G5

Effectiveness of corrective actions verified

Verification guidance
  • Verify effectiveness checks are performed after corrective actions.
  • Confirm recurrence is monitored and prevented.
Typical evidence: Verification records, Follow-up audit notes, Trend analysis
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H. Maintenance of Ship & Equipment ISM 10

Items: 5
Item Requirement Status Evidence / Remarks Photo Evidence
H1

Planned Maintenance System (PMS) implemented

Verification guidance
  • Verify PMS is implemented for ship & office-controlled equipment.
  • Confirm schedules, execution, and overdue control.
Typical evidence: PMS reports/screenshots, Maintenance plans, Overdue list
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H2

Critical equipment identified

Verification guidance
  • Confirm critical equipment is identified with redundancy/contingency measures.
  • Verify testing/maintenance intervals are defined.
Typical evidence: Critical equipment list, Risk assessment, Test records
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H3

Maintenance records available

Verification guidance
  • Verify maintenance records are complete and traceable.
  • Confirm maker instructions and class requirements are considered.
Typical evidence: Work orders, Job history, Maker manual references
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H4

Class and statutory surveys monitored

Verification guidance
  • Confirm class/statutory survey status is monitored and planned.
  • Verify communications and updates are recorded.
Typical evidence: Survey status list, Certificates, Correspondence
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H5

Deficiencies rectified within required timeframe

Verification guidance
  • Verify deficiencies are rectified within required timeframes and tracked.
  • Confirm temporary measures are risk assessed and approved.
Typical evidence: Defect log, Repair records, Class/flag approvals
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I. Control of Documents & Records Records

Items: 5
Item Requirement Status Evidence / Remarks Photo Evidence
I1

Document register maintained

Verification guidance
  • Confirm a document register exists and is maintained for controlled documents.
  • Verify IDs, revisions, and distribution are traceable.
Typical evidence: Document register, Distribution list, Sample controlled docs
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I2

Record retention policy defined

Verification guidance
  • Verify record retention periods are defined and implemented.
  • Confirm statutory/class/flag requirements are considered.
Typical evidence: Retention policy, Archive index, Disposal records (if any)
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I3

Electronic and hardcopy records secured

Verification guidance
  • Confirm records are secured (physical and electronic) against loss/damage.
  • Verify confidentiality controls where applicable.
Typical evidence: Storage conditions, Access controls, Backup logs
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I4

Access control implemented

Verification guidance
  • Verify access control is implemented for sensitive files/systems.
  • Confirm user permissions are reviewed periodically.
Typical evidence: Access matrix, User list, Review logs
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I5

Backup procedures verified

Verification guidance
  • Confirm backup procedures are implemented and tested.
  • Verify restore capability and frequency.
Typical evidence: Backup schedule, Backup success logs, Restore test evidence
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J. Internal Audit & Management Review ISM 12

Items: 5
Item Requirement Status Evidence / Remarks Photo Evidence
J1

Internal audits conducted as scheduled

Verification guidance
  • Verify internal audits are planned and conducted per schedule.
  • Confirm scope covers all applicable departments/vessels.
Typical evidence: Audit plan, Audit reports, Schedule tracker
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J2

Auditors independent from audited activities

Verification guidance
  • Confirm auditor independence from audited activities.
  • Verify auditor qualification/training records.
Typical evidence: Audit assignment, Auditor qualification records
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J3

Audit reports issued and closed

Verification guidance
  • Verify audit reports are issued, findings tracked, and closed.
  • Confirm closure verification evidence.
Typical evidence: Audit report, CAPA records, Closure evidence
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J4

Management review conducted annually

Verification guidance
  • Confirm management review is conducted at planned intervals.
  • Verify inputs/outputs align with ISM requirements.
Typical evidence: Management review minutes, KPI inputs, Action plans
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J5

Continuous improvement actions identified

Verification guidance
  • Verify continuous improvement actions are identified and implemented.
  • Confirm effectiveness monitoring and learning.
Typical evidence: Improvement log, Project/action tracker, Review minutes
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K. Compliance with Statutory & Class Requirements DOC/SMC/Class

Items: 5
Item Requirement Status Evidence / Remarks Photo Evidence
K1

DOC / SMC valid

Verification guidance
  • Verify DOC/SMC certificates are valid and available.
  • Confirm scope/trade limitations are met.
Typical evidence: DOC/SMC copies, Certificate register
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K2

Class certificates valid

Verification guidance
  • Verify class certificates are valid and monitored.
  • Confirm conditions of class and due surveys are tracked.
Typical evidence: Class certificates, Survey status, COC/conditions list
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K3

Flag State requirements complied

Verification guidance
  • Confirm compliance with Flag State requirements and circulars.
  • Verify implementation and acknowledgement.
Typical evidence: Flag circular log, Implementation evidence, Correspondence
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K4

Port State Control findings monitored

Verification guidance
  • Verify PSC findings are monitored, analyzed, and prevented.
  • Confirm corrective actions and lessons learned.
Typical evidence: PSC reports, Trend analysis, Preventive actions
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K5

Circulars from ClassNK reviewed and applied

Verification guidance
  • Confirm ClassNK circulars/technical information are reviewed and applied.
  • Verify tracking, distribution, and implementation.
Typical evidence: Class circular log, Acknowledgement, Implementation evidence
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L. Environmental Protection MARPOL

Items: 5
Item Requirement Status Evidence / Remarks Photo Evidence
L1

MARPOL procedures implemented

Verification guidance
  • Verify MARPOL procedures are implemented (SOPEP/SEEMP/garbage/oily water, etc.).
  • Confirm personnel familiarity and compliance records.
Typical evidence: MARPOL procedures, Training records, Shipboard postings
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L2

Garbage, oil, and sewage management compliant

Verification guidance
  • Confirm garbage/oil/sewage management is compliant and recorded.
  • Verify segregation, disposal, and equipment readiness.
Typical evidence: ORB/GRB entries, Disposal receipts, Equipment checks
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L3

Environmental incidents reported

Verification guidance
  • Verify environmental incidents are reported promptly and investigated.
  • Confirm corrective/preventive actions implemented.
Typical evidence: Incident reports, RCA/CAPA, Notifications
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L4

Records maintained (ORB, GRB, etc.)

Verification guidance
  • Confirm required records are maintained accurately (ORB, GRB, etc.).
  • Verify entries are timely, correct, and reviewed.
Typical evidence: ORB/GRB samples, Review signatures, Internal checks
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L5

Environmental training conducted

Verification guidance
  • Verify environmental training is conducted and documented.
  • Confirm awareness of pollution prevention and reporting.
Typical evidence: Training materials, Attendance logs, Briefing records
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NC Summary – Remarks Continuation

Printed continuation of long remarks to avoid table row cut-offs (A4).

Audit Result Summary

Overall Result
Auditor
Reviewed by (Management)
General Remarks / Conclusion
For NC items: include CA, responsible, and target closing date.
Corrective Action Due Date
Next Follow-up / Verification
Document Control

Signatures

Fill in names and titles. Included in Print/PDF.
Inspector
Date
Master
Date
Company Representative
Date

Score is computed from the selected Status per item. N/A items are excluded from the score.

Audit Result Summary (Overall)

Write your overall audit conclusion here (manual). Saved in this browser and included in Print/PDF.