What documents and records do you prepare for an external ISM audit?
Short answer
| ISM section | Evidence ready |
|---|---|
| §13 and §14 | DOC, SMC, any interim certificate |
| §11 | controlled SMS manual, obsolete documents removed |
| §12 | internal audits, management review, previous findings closed out |
| §9 | non-conformities, accidents, near-misses, corrective actions |
| §10 | PMS, critical equipment, standby tests |
| §8 | drill schedule and reports |
| §6 | training and familiarisation |
- Certificates: DOC and SMC valid with annual and intermediate verifications (ISM §13), any interim certificate (§14), statutory and class certificates in date.
- SMS documentation (§11): the current controlled Safety Management Manual (policy, responsibilities, DPA, master’s authority, procedures); obsolete documents removed.
- Records that prove implementation: internal audits and management review (§12, within 12 months), previous external findings closed out, non-conformities and corrective actions, accidents, hazardous occurrences and near-misses (§9).
- Operational records: PMS and critical-equipment tests (§10), drills (§8), training and familiarisation (§6), master’s review, Oil Record Book, rest hours, risk assessments and permits.
- Preparation: current versions, complete and retrievable records, open findings closed, no overdue critical jobs, drills done, crew briefed because the auditor interviews them.
- As Chief Engineer: the department’s practice must match the documented SMS; a gap between manual and practice is a non-conformity.
Full answer
The full answer explains each point step by step, with the regulations and figures behind it and the discussion from other candidates. It is in the MEO Class I section of the Marine One forum, open to members enrolled for the MEO Class I exam.