Internal audits, company verification and management review
1The lesson in plain words
The company checks its own system: internal audits at least every 12 months, the master's review and a management review that drives change.
Internal audits
The company must carry out internal safety audits on board and ashore at intervals of not more than 12 months. This is ISM section 12. In exceptional circumstances, the interval may be exceeded by up to 3 months; the reason must be documented. Commercial pressure alone is not an exceptional circumstance. The audit checks that safety and pollution-prevention work follows the SMS.
Who audits
Internal auditors should be independent of the area they audit, unless the company is too small for this to be practicable. An officer should not audit his own department. Audits follow documented procedures. The results go to everyone responsible for the area, and the management in charge must take timely corrective action.
Your role in an audit
Before the audit, check your own records: drills, permits, maintenance and familiarisation forms. During it, show how the work is really done and answer honestly. Afterwards, take part in agreeing the root cause and the actions. An audit that finds nothing is not a success if it looked only at paper.
Review and evaluation
The company must periodically evaluate the effectiveness of the SMS and review it at management level. The management review uses audit results, the masters' reviews, reports of NCs, accidents and near misses, and performance data. Its output is decisions: new resources, changed procedures or training. The company must also check that anyone doing ISM tasks for it, such as a manning agent, follows the Code.
External audits in one line
The flag or its recognised organisation carries out initial checks, annual DOC checks, intermediate SMC checks and renewal within five years; see Ship business.
2Key data
- Internal audits
- On board and ashore, at intervals of not more than 12 months
- Exceptional extension
- Up to 3 months, reason documented (ISM 12.1, since 1 July 2010)
- Auditor
- Independent of the area audited, unless impracticable
- Delegated ISM tasks
- The company verifies that delegated ISM tasks comply with the Code
3Key points
- 1
Internal audits on board and ashore at least every 12 months.
- 2
An extension of up to 3 months is for exceptional circumstances only, documented.
- 3
Auditors should be independent of the area they audit.
- 4
The management review turns findings into decisions and resources.
- 5
External ISM audits are the flag's job; internal audits are the company's.
4Frequent mistakes
Wrong: The internal audit can be skipped in a year with an external audit.
Right: Internal audits are still required at intervals of not more than 12 months. The external audit does not replace them.
Wrong: The chief engineer can audit the engine department to save time.
Right: Auditors should be independent of the area audited, unless that is impracticable. Another qualified auditor should do it.
5Practice case & exam keys
Your ship's last internal audit was 13 months ago. The superintendent who should do it is busy with a new building, and the office suggests waiting until dry dock in four months. Is that acceptable?
Show the answer
No. The interval is 12 months. It may be exceeded by up to 3 months only in exceptional circumstances, documented. A busy superintendent is a resource problem, not an exceptional circumstance, and waiting four more months would reach 17 months anyway. The company must send another independent auditor now and record why the audit was late.
Exam keys
- Internal audits at intervals of not more than 12 months; up to 3 months more only in exceptional cases.
- Auditors independent of the area audited, unless impracticable.
- Results to those responsible; timely corrective action by management.
- Management review evaluates SMS effectiveness and decides changes.
Finish this unit
When you've read it, answer three questions. Get all three right to finish the unit; opening the page alone doesn't count.
My notes for this unit
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