Internal audits are a critical part of the International Safety Management (ISM) Code, ensuring that both ships and companies maintain the highest standards of safety and compliance. This post will explore the distinct requirements for ship and company ISM internal audits, address commonly asked questions, and provide information on ISM internal auditor training and services.

What Is an ISM Internal Audit?

Paragraph 12.1 of the ISM Code requires that the Company should carry out internal safety audits on board and ashore at intervals not exceeding twelve months to verify whether safety and pollution-prevention activities comply with the safety management system.

An ISM internal audit is a systematic evaluation of a company’s Safety Management System (SMS) to ensure compliance with the ISM Code and Company’s SMS requirements. Internal audits need to be conducted on board every ship that is subject to the ISM Code and within the company’s shore-based operations. These audits are vital to demonstrate the effective functioning and continuous implementation of the SMS. They help to self-identify non-conformities and areas for improvement, ensuring that safety protocols are effectively implemented across all levels of the organization.

Ship Internal Audits: Ensuring Onboard Compliance

Q: How often are ISM internal audits required for ships?

Ship internal audits are required to be carried out at intervals not exceeding twelve months per the ISM Code, although the frequency may vary depending on the company’s operations and risk profile. In exceptional circumstances, this interval may be exceeded by not more than three months. In such circumstances, the Company should be able to explain the “exceptional circumstances” under which the audit could not be carried out. It should also be noted that some Flag Administrations may have requirements relative to exceeding the internal audit interval, such as seeking authorization from the vessel’s Flag Administration.

Shipboard internal audits focus on ensuring that the vessel’s operations comply with the SMS and the ISM Code. An internal or external ISM internal auditor will audit the elements of the company SMS in line with the ISM requirements such as navigation practices, maintenance routines, crew certification and training, emergency preparedness, risk assessment and pollution prevention measures.

Q: What is included in an ISM internal audit checklist for ships?

Some companies elect to implement internal audit checklists to create a baseline standard for their audit verification points. While this method may be a good starting point for document review and ensuring that the SMS elements are captured thoroughly, it shouldn’t be taken as the sole source of an audit and cannot replace the on-board interviews as a whole.

A comprehensive ISM internal audit checklist for ships includes items such as:

• Verification of SMS documentation and procedures
• Inspection of safety equipment and lifeboats
• Evaluation of crew training records, STCW certifications, endorsements and qualifications
• Review of emergency drills records and procedures
• Examination of pollution prevention protocols

It should be noted that the internal ISM audits give the opportunity to the Company to assess their safety management system implementation, and it would be reasonable to expect the internal audit to be more comprehensive than the ISM external audits conducted by Class Societies on behalf of Flag Administrations.

Company Internal Audits: A Broader Evaluation

Q: What is the difference between ship and company internal audits under the ISM Code?

While ship internal audits have more focus on specific vessel operations, company internal audits evaluate the shore-based management systems that support the entire fleet. These audits assess the effectiveness of corporate policies, procedures, and practices in ensuring safe operations and compliance with the ISM Code.

Q: How do you conduct an ISM internal audit for a company?

Conducting an ISM internal audit for a company involves several key steps:

1. Planning: Define the scope and objectives of the audit and select qualified auditors.
2. Execution: Review documentation, observe processes, and interview personnel to assess compliance.
3. Reporting: Document the findings, highlighting areas of compliance and non-conformities.
4. Follow-Up: Ensure that corrective actions are implemented and verify their effectiveness in subsequent audits.

ISM Internal Auditor Training Requirements

Q: What qualifications are needed to be an ISM internal auditor?

Competence requirements of the internal audits should be specified by the Company as per paragraph 6.5 of the ISM Code. To become an effective ISM internal auditor, individuals should undergo specific training that covers the principles of auditing, the ISM Code requirements, and industry best practices.

Another key element of internal audits is to have auditors who are independent of the areas being audited to maintain objectivity unless this is impracticable due to the size and nature of the Company as per the ISM Code 12.5.

Where to Find ISM Internal Auditor Training Courses

Q: Where can I get ISM internal auditor training?

ISM internal auditor training is offered by several recognized organizations, including:

• ABS (American Bureau of Shipping)
• DNV (Det Norske Veritas)
• BV (Bureau Veritas)
• LR (Lloyd’s Register)

These courses typically include classroom instruction, case studies, and practical exercises, and they often provide certification upon completion.

Preparing for an ISM Internal Audit

Q: How do I prepare for an ISM internal audit?

Preparation for an ISM internal audit involves ensuring that all relevant documentation is up to date, that crew and staff are aware of procedures, and that safety and maintenance records are complete. Regular internal reviews can help identify any gaps before the formal audit.

ISM Internal Audit Services: How Marinetegrity Maritime Consultants Can Help?

Q: What are the benefits of conducting regular and effective ISM internal audits?

Regular and effective ISM internal audits help to maintain compliance, improve safety practices, and prepare for external inspections. They also provide opportunities for continuous improvement, ensuring that your Safety Management System evolves with industry standards.

At Marinetegrity Maritime Consultants, we specialize in providing comprehensive ISM internal audit services tailored to the needs of both ships and companies. Our team of experienced auditors is fully trained and certified, with a deep understanding of the ISM Code and its application in the maritime industry.

Q: What ISM internal audit services does Marinetegrity Maritime Consultants offer?

We offer a range of services, including:

• Ship Internal Audits: Ensuring your vessels comply with the ISM Code and are prepared for external inspections.
• Company Internal Audits: Assessing the effectiveness of your corporate SMS and identifying areas for improvement.
• ISM Internal Auditor Training: We can also provide guidance on selecting the right training programs to build your in-house audit capabilities.

By engaging our services, you can ensure that your operations are not only compliant but also optimized for safety and efficiency. Let Marinetegrity act as your trusted ISM internal auditor, providing you with unbiased assessments and actionable recommendations. Visit our ISM Consultancy Services page to learn more about how we can support your business in achieving and maintaining the highest standards of maritime safety.