ISM Code Audit and PSC Inspection Checklist: Preparing Ship Maintenance Evidence with a PMS

To prepare maintenance evidence for an ISM Code audit and a Port State Control inspection, make sure every item of equipment is registered, every maintenance schedule runs and is recorded as done, every finding has a corrective action, and critical equipment is identified. All of it must be shown from consistent records, not collected the day before the ship is inspected.

Auditors and inspectors do not judge intent. They judge records: what was scheduled, what was done, when, by whom, and what happened when something failed. This article explains what is usually checked in ship maintenance, where that evidence can live in a ship PMS, and a step-by-step checklist for superintendents, DPAs, technical managers, and chief engineers.

This article is not a guarantee of passing an audit. Results depend on the condition of the ship, crew discipline, and the auditor's judgement. A PMS helps prepare evidence; it does not replace the maintenance work itself. To discuss your fleet, contact us for a demo.

Short Definitions: ISM Code, PSC, PMS, and Critical Equipment

The ISM Code (International Safety Management Code) is an IMO code that requires shipping companies and their ships to operate a safety management system. It is mandatory under SOLAS Chapter IX.

Port State Control (PSC) is the inspection of foreign ships by the port state they call at. Indonesia is a member of the Tokyo MOU, the regional PSC cooperation in the Asia-Pacific. Inspectors may detain a ship when they find serious deficiencies.

A planned maintenance system (PMS) is a scheduled system for planning, carrying out, and recording ship maintenance. In practice it is used to carry out the maintenance obligations of the ISM Code, on paper or in software.

Critical equipment is equipment and technical systems whose sudden failure may cause hazardous situations, as described in Section 10.3 of the ISM Code. The company must identify it and promote its reliability.

What Does an ISM Auditor Check in Ship Maintenance?

Section 10 of the ISM Code, "Maintenance of the ship and equipment", states that the company must establish procedures so the ship is maintained in conformity with the relevant rules and regulations. Those procedures cover inspections at appropriate intervals, reporting of non-conformities with their possible cause, corrective action, and keeping records of these activities.

In practice, an ISM Code auditor usually traces four things. First, whether a clear inspection and maintenance schedule exists. Second, whether the schedule is actually carried out. Third, whether failures and non-conformities are reported and followed up. Fourth, whether everything is recorded and can be shown on request.

Audits are carried out internally by the company and externally for the DOC (Document of Compliance) and SMC (Safety Management Certificate). Both are done periodically. An honest internal audit is a chance to find gaps before an external auditor does.

Four questions that often come up on board

• Is this equipment in the maintenance list? An auditor may pick equipment on the ship and look for its schedule.
• When was it last done, and by whom? The date and the person responsible must be shown.
• What happens to overdue work? A recorded and explained delay is easier to defend than one nobody can see.
• What was done after a finding? The cause, the corrective action, and the closure must be traceable.

We cover the basics of the system in the complete guide to planned maintenance systems (PMS). If you are unsure whether a PMS is enough or you need a broader system, read the difference between ship PMS software and a ship management system.

How Do You Identify Critical Equipment on a Ship?

Section 10.3 of the ISM Code asks the company to identify equipment and technical systems whose sudden failure may cause hazardous situations, and to promote their reliability. One example the code gives is regular testing of stand-by arrangements and of equipment that is not in continuous use.

A practical approach: list the equipment on the ship, then for each item ask what happens if it fails suddenly. If the answer is danger to the crew, the ship, or the environment, mark it as critical equipment. The company decides its own list based on ship type and operation. No single list applies to every ship.

Once marked, critical equipment needs visibly different treatment in the records: clearer test schedules, extra attention to spare parts, and condition monitoring. In a PMS, an asset hierarchy of unit, component, and part helps trace critical equipment down to the parts that matter most. Spare part stock with safe and warning levels helps ensure an important part does not run out unnoticed.

For rotating equipment, Condition-Based Monitoring records running hours, vibration, and ampere. This data can complement time-based schedules. Further sensor monitoring is covered in our IoT solution.

Maintenance Evidence Table: Where It Lives in the PMS and Gaps to Watch

The table below maps commonly requested ship maintenance evidence to where it can be kept in a PMS and the gaps to watch for. The third column is a watch list, not statistics on findings.

How Does a PMS Help with a Port State Control Inspection?

Port State Control is carried out by the port state on foreign ships that call there. Indonesia is a member of the Tokyo MOU. Inspectors may detain a ship when they find serious deficiencies, so the readiness of maintenance records bears directly on the sailing schedule.

A PMS helps in a simple way. Equipment is registered, schedules run, overdue work shows through overdue alerts, and critical spare part stock is monitored. The chief engineer and superintendent can then see the maintenance state of the ship before it berths, not after the inspector comes aboard.

For a fleet, a multi-ship PMS lets the technical manager compare several ships in one view. A ship with piling overdue work or thin critical stock can be handled first. Crew certification and sign on/off are recorded in the same system.

A PMS does not replace the physical condition of the ship. Inspectors look at the equipment directly, and records are only useful if they match reality. That is why we do not promise any inspection outcome. What the system can do is make maintenance evidence easier to prepare and harder to miss.

How Do You Manage Findings and Corrective Actions?

Section 10 of the ISM Code asks for non-conformities to be reported with their possible cause, followed by corrective action and recording. A good flow keeps the three connected: finding, cause, action, closure.

In a PMS, a failure found can be raised as a corrective taskjob on the asset concerned, so the failure history attaches to the unit, component, or part. If the repair needs spare parts, the request can connect to purchasing. An auditor who asks "what happened after this failure" then gets a traceable answer.

Watch for patterns too. If the same failure repeats on the same asset, its preventive schedule or maintenance interval needs review. Reviewing is part of keeping equipment reliable, not just closing a ticket.

12-Step Checklist for Preparing Maintenance Evidence

1. Register all ship equipment in a hierarchy of unit, component, and part.
2. Define critical equipment under Section 10.3 of the ISM Code, and record the reasoning.
3. Create preventive taskjobs for each asset, with intervals that follow manufacturer guidance and company procedures.
4. Schedule regular tests of stand-by arrangements and critical equipment.
5. Register periodic surveys and inspections as survey taskjobs with clear deadlines.
6. Make sure each job is marked complete with date and person responsible, right after it is done.
7. Review overdue alerts routinely, and record the reason for each delay.
8. Record every failure as a corrective taskjob with its possible cause.
9. Set safe and warning stock levels for critical spare parts.
10. Keep crew sign on/off and certification data current, and check expiry dates.
11. Run periodic internal audits: pick some equipment at random and trace its schedule through to the completion record.
12. Close internal audit findings before the external audit, and keep the closure records.

To see how these steps map to the system, contact us for a demo. Another view on digitalising maintenance is in modernising ship maintenance with a maritime PMS.

This checklist works as a routine exercise, not a one-off preparation. Schedule a sample trace every few months, involve the chief engineer and superintendent, and record the result. The habit makes an ISM Code audit and a PSC inspection feel like an ordinary check of work that already happens on board every day.

Common Mistakes When Preparing Evidence

Records made after the fact. Filling in records the day before an audit produces tidy data that is easy to question. Record at the time the work is done.

Equipment list not updated. Equipment that is replaced or added but not registered leaves schedules and records no longer reflecting the ship.

Delays hidden. Overdue work recorded with a reason is easier to explain than work that never shows up.

Critical equipment not distinguished. If all equipment is treated the same, equipment whose failure is dangerous gets no extra attention.

Crew certificates missed. An expired certificate on a serving crew member can become a finding of its own. Track expiry together with the sign on/off schedule.

Treating the PMS as a guarantee. The system only reflects the discipline put into it. Records that do not match the ship become a new problem.

Frequently Asked Questions

What does an ISM Code audit of ship maintenance involve?

An ISM Code audit of maintenance checks whether the company and ship follow maintenance procedures under Section 10 of the ISM Code: inspections at appropriate intervals, reporting of non-conformities with their possible cause, corrective action, and record keeping. Audits are done internally by the company and externally for the DOC and SMC.

What is critical equipment on a ship under the ISM Code?

Critical equipment is equipment and technical systems whose sudden failure may cause hazardous situations. Section 10.3 of the ISM Code asks the company to identify it and promote its reliability, for example through regular testing of stand-by arrangements. The list is set by the company based on ship type and operation.

Does a ship PMS guarantee passing an audit or a PSC inspection?

No. A PMS helps prepare maintenance evidence by recording schedules, completed work, delays, and spare part stock. Audit and inspection results still depend on the condition of the ship, crew discipline, and the judgement of the auditor or inspector.

What is a Port State Control inspection and how does the Tokyo MOU relate to it?

Port State Control is the inspection of foreign ships by the port state they call at. Indonesia is a member of the Tokyo MOU, the regional PSC cooperation in the Asia-Pacific. Inspectors may detain a ship when they find serious deficiencies.

What maintenance evidence should be available in a PMS?

The equipment list in a hierarchy, preventive, corrective, and survey taskjobs with their completion status, overdue alerts, condition monitoring data such as running hours, vibration, and ampere, spare part stock with safe and warning levels, and crew certification and sign on/off data.

How does a PMS help a technical manager running many ships?

A multi-ship PMS shows the status of several ships in one system, including overdue work and critical stock alerts. The technical manager can decide which ship needs attention first before an audit or inspection. Contact us for a demo sized to your fleet.