MARINE MIRROR

By, Marine Superintendent – Tarun Kansal

Please find attached guidelines for the preparation and the performance of an ism audit as well as a number of questions which could be asked either by a third party or by an internal auditor

A. PREPERATION (few days before audit)

1. All the vessel’s certificates (issued by the administrations or by class) should be valid.
2. All officers’ original certificates and licenses including the medical certificate should be valid and on board the vessel.
3. All non-statutory diagrams and notices are provided on board, (e.g. Muster lists, station bills, standing orders etc.) should be signed and dated by the master, or the chief engineer, or the chief officer as required.
4. All vessels’ drawings should be listed for easy identification and they should have the correct ship’s name. (This is particular important if the ship is second hand).
5. All safety management system documentation (manuals) should be the current one and the latest changes should have been incorporated in all copies. All old editions should be destroyed.
6. The filling system should be in accordance with the company’s administration manual
7. The master and the chief engineer should verify that they have issued the proper standing orders, which are countersigned by all deck and engineer officers respectively.
8. The safety committee meetings are scheduled and conducted as per company’s requirements (e.g. At least one  per month), and the minutes of the meetings are up to date and objective evidence that any outstanding points are being taken care by shore or ship management, should be noted.

ISM Code Procedures to Control Documents and Data & Internal Safety Audit, Verification, Review and Evaluation – Sections 11, 12 & Guidance on ISM Audit

International Safety Management Code (ISM Code) is the International Management Code for the Safe Operation of Ships and Pollution Prevention, as adopted by the IMO assembly. Adopted in November 1993, the ISM Code came into force in July 1998. It is part of the SOLAS Chapter IX – Management for the Safe Operation of Ships. The latest amended version came into force on January 1, 2015.

Procedures should be in place for the control of all documentation, which should be approved prior to issue and assessed for its user friendliness. Obsolete documentation should be removed from all locations to remove any overlapping of the procedures. The ISM code requires shipping companies to carry out internal and external audits for each vessel they are managing.

Carrying out internal and external audits verify that ships and shore organizations follow the responsibilities and objectives detailed in the Safety Management System. The Company should also evaluate those entities undertaking ISM-related tasks and if any tasks are delegated to another entity, that entity also must be audited.

A periodic review of the SMS should be undertaken by the Company’s management. Procedures and instructions for carrying out internal audits should be incorporated into the SMS and the audits should be conducted according to these procedures. Internal auditors should be independent of the operation being audited.

Also, it is important that the results of the audits are brought to the attention of the personnel responsible for the area. In order to improve the SMS, the results of the Company’s internal audits and reviews are disseminated to all persons having responsibility for the SMS.

ISM Code Guidance – Internal Audits

INTERNAL AUDITS

MSC-MEPC.7/Circ.8 Guidance Regarding the company internal shore-based and shipboard audits of the SMS and related entities

Companies should carry out internal shore-based and shipboard audits at intervals not exceeding 12 months to verify whether shore-based and shipboard activities comply with the SMS. In exceptional circumstances as documented by the Company, this period may be exceeded by not more than three months. These internal verifications should be prepared and conducted in accordance with procedures established by the Company. The procedures should at least consider the following elements

1.Responsibilities

2. Competence and selection of auditors;

3. Audit scheduling;

4. Preparing and planning the audit;

5. Executing the audit;

6. Audit report; and

7. Corrective action follow-up.

ISM Code Guidance – Review of the Safety Management System

5. Guidance on Review of Safety Management System

MSC-MEPC.7/Circ.8 Guidance Regarding Company & Master’s Responsibility for Review of the Safety Management System (SMS)

5.1 The Company should periodically review and evaluate the effectiveness of the SMS in accordance with procedures established by the Company. Further, it is one of the master’s responsibilities to review periodically the safety management system and to report its deficiencies to the shore-based management.

5.2 Management reviews support Companies efforts in achieving the general safety management objectives as defined in section 1.2.2 of the ISM Code. Based upon the results of such reviews, the Company should implement measures to improve further the effectiveness of the system. The review should be performed on a periodical basis as defined by the Company or when needed, e.g. in case of serious system failures. Any deficiencies found during the management review should be provided with appropriate corrective action taking into account the Company’s objectives. The results of such reviews should be brought to the attention of all personnel involved in a formal way. The management review should at least take into account the results of the internal audits, any non-conformities reported by the personnel, the master’s reviews, analysis of non-conformities, accidents and hazardous occurrences and any other evidence of possible failure of the SMS, like non-conformities by external parties, PSC inspection reports, etc.