THE ISM CODE
The International Management Code for the Safe Operation of Ships and for Pollution Prevention
HOME     ABOUT THIS SITE          ISM LINKS DIRECTORY     BLOG ISM     CONTACT US
 
 


HOME
- ISM LINKS / AUDITING PROCEDURES

AUDITING PROCEDURES - Information available on this page

  Introduction
Auditing the ISM - A Guide for ISM Auditors
Class NK Handbook for ISM Audits
Revised Guidelines on Implementation of the International Safety Management Code by Administrations
Interim Guidelines for Port State Control Related to the ISM Code
Guidance for Port State Control Officers in -Certificates of Competency issued under the STCW Convention
The Beneficial Impact of the ISM Code & its Role as an Indicator of Safe Operation and Environmental Protection
IACS Recommendation No 41 (Rev 4 - Dec 2005 ) - Guidance for IACS Auditors to the ISM Code
Guidelines on the application of the IMO International Safety Management (ISM) Code
The ISM Code - Instructions for the Guidance of Surveyors
Port State Control Guidelines for the Enforcement of Management for the Safe Operation of Ships (ISM Code)
 

AUDITING PROCEDURES
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Auditing is an important feature of any management system and this clearly includes the ISM - Safety Management System.

There are at least two related but quite different audits which will be carried out to verify compliance with the ISM Code:

  • External Audits carried out by the Flag State Administration, or Recognised Organisations on there behalf, and
  • Internal Audits carried out by the Company.

It is possible that Port State Control may also conduct an external audit in certain circumstances.

Probably the most authoritative exposition on ISM auditing is contained in the International Shipping Federation / International Chamber of Shipping commentary - 'Guidelines on the application of the IMO International Safety Management (ISM) Code' - which is highly recommended and which can be obtained from:

  www.marisec.org/pubs/pubscat.htm

There is one particular pearl of wisdom contained within the Guidelines relating to auditing which has been engraved upon my very soul since first reading the section. It is discussing the relative values of external and internal audits:

'In carrying out internal SMS audits companies measure the effectiveness of their own systems. Internal SMS audits are potentially more important than external audits for controlling the effectiveness of the system, since companies stand to gain or lose more than the external audit bodies if the system fails. The company, its employees, shipmasters, officers and crews 'own' the safety management system and have a direct interest in ensuring that it is effective. As a result, the internal SMS audit, which represents these interests, should be at least equal to if not exceed the thoroughness of the external SMS audit process.'

Once this is truly understood then the whole of the ISM Code will be better understood and the penny will drop!

On this page I have started to pull together a collection of articles and sources of information relevant to both External and Internal auditing. I believe this subject is extremely important and I would be most grateful for any further articles or other information about this subject could be sent to me at philanderson@consultism.co.uk and which can then be shared with other users of this website.

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

  Chatterjee, Ajoy

Auditing the ISM - A Guide for ISM Auditors

 
 

 

Ajoy Chatterjee is Chief Surveyor with the Government of India, Directorate of Shipping.

This is a splendid, and much needed practical guide, and has been published by The Institute of Marine Engineers ( India ) - First Edition September 2004. ISBN : 81-902330-0-9

Obtainable from the publishers:

The Institute of Marine Engineers ( India )
1012 Maker Chamber No V
Mariman Point,
Mumbai - 400021
India

Tel: (91-22) 2284 0105
Fax: (91-22) 2283 4035

Email: imei@vsl.com
Website: www.imareindia.org

BACK TO TOP

 

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

  Class NK

Class NK Handbook for ISM Audits

 
 

 

A copy of the handbook can be accessed through the following link:

Class NK Handbook for ISM Audits

BACK TO TOP

 

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .


  International Maritime Organisation (IMO)

Resolution A.913(22) - Revised Guidelines on Implementation of the International Safety Management Code by Administrations

 
 

 

This Resolution is one of the main IMO complements to the ISM Code in which an attempt is made to encourage Flag State Administrations to follow a standard set of guidelines when verifying and certificating ISM systems. The full text can be accessed through the following link:

IMO_Res913A22_e

BACK TO TOP

 

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

  International Maritime Organisation (IMO)

  MSC / Circ. 890 'Interim Guidelines for Port State Control Related to the ISM Code'

 
   

Text can be accessed through the following link:

MSC Circ 890

BACK TO TOP

 

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .


  International Maritime Organisation (IMO)

MSC / Circ. 918 'Guidance for Port State Control Officers in Respect of Certificates of Competency issued under the STCW Convention'

 
 

 

Text can be accessed through the following link:

MSC Circ 918

BACK TO TOP

 

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

 

International Maritime Organisation (IMO)

MSC / Circ. 994 'The Beneficial Impact of the ISM Code and its Role as an Indicator of Safe Operation and Environmental Protection'

 
 

 

Text can be accessed through the following link:

MSC Circ 994

BACK TO TOP

 

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .


  International Association of Classification Societies (IACS)

IACS Recommendation No 41 (Rev 4 - Dec 2005 ) - Guidance for IACS Auditors to the ISM Code

 
 

 

This is an authoritative guide which all Classification Society members of IACS are recommended to follow. The full set of guidelines can be accessed through the following link:

IACS Guidelines

BACK TO TOP

 

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

  International Shipping Federation / International Chamber of Shipping
Guidelines on the application of the IMO International Safety Management (ISM) Code

 
 

 

Provides a general description of the Code's provisions, including advice on the conduct of internal audits by companies to verify whether safety and pollution prevention activities comply with the safety management system. Essential information on the survey and certification requirements applied by governments under the ISM Code are included, together with appropriate cross references and texts of all relevant requirements relating to the Code. Over 30,000 copies sold.

This is an industry standard work and can be obtained from:

http://www.marisec.org/pubs/pubscat.htm

BACK TO TOP

 

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .


 

Maritime and Coastguard Agency (MCA)

The ISM Code - Instructions for the Guidance of Surveyors

 
 

 

This is an excellent detailed set of guidelines which can be accessed through the MCA Website at:

http://www.mcga.gov.uk/c4mca/mcga-guidance-regulation/mcga-dqs-ss_guidance_to_surveyors/dqs-instuctions-ism.htm or as a PDF document through the following link:

MCA Instructions for the guidance of surveyors

BACK TO TOP

 

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

  United States Coast Guard
Navigation and Vessel Inspection Circular No. 04-05 - Port State Control Guidelines for the Enforcement of Management for the Safe Operation of Ships (ISM Code)

 
 

 

This is a detailed set of practical guidelines which contains a number of sections relevant to external audits. The full text can be accessed through the following link:

USCG ISM NAVIC

BACK TO TOP

 

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .


ConsultISM Ltd - Marine Consultants and Experts specialising in the ISM Code
Sponsored by ConsultISM Ltd.
Consultants and Experts in the ISM Code