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ISM Code Documentation & Company Verification, Review, Evaluation and ISM Audit

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

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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.

Contents - Part A

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ism sms review audit

Documentation, Internal Audit, Review and Verification

ISM Code Part A (Section 11) - Documentation

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Section 11. Documentation

ISM Code procedures in place for the control of all documentation and data

11.1 The Company should establish and maintain procedures to control all documents and data which are relevant to the SMS

11.2 The Company should ensure that:

.1 valid documents are available at all relevant locations;

.2 changes to documents are reviewed and approved by authorized personnel; and

.3 obsolete documents are promptly removed.

11.3 The documents used to describe and implement the SMS may be referred to as the Safety Management Manual. Documentation should be kept in a form that the Company considers most effective. Each ship should carry on board all documentation relevant to that ship.

ISM Code Part A (Section 12) - Company Verification, Review and Evaluation

Section 12. Company Verification, Review and Evaluation

ISM Code internal safety audits onboard and ashore, evaluation of entities undertaking ISM related tasks, periodic review of the SMS, and Internal Auditor related requirements

12.1 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 SMS. In exceptional circumstances, this interval may be exceeded by not more than three months.

12.2 The Company should periodically verify whether all those undertaking delegated ISM-related tasks are acting in conformity with the Company’s responsibilities under the Code.

12.3 The Company should periodically evaluate the effectiveness of the SMS in accordance with procedures established by the Company

12.4 The audits and possible corrective actions should be carried out in accordance with documented procedures.

12.5 Personnel carrying out audits should be independent of the areas being audited unless this is impracticable due to the size and the nature of the Company.

12.6 The results of the audits and reviews should be brought to the attention of all personnel having responsibility in the area involved.

12.7 The management personnel responsible for the area involved should take timely corrective action on deficiencies found.

ISM Code Guidance - Internal Audits

7. 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.

Additional Guidance Annex Item 8 Regarding Auditor Training

All persons performing internal audits should have successfully completed a relevant auditor training course.

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.

Disclaimer: For general information purpose only - please check IMO ISM Code & SOLAS Convention for the latest requirements and accurate info

LAST UPDATED ON Sep 27, 2022