Introduction

The maritime industry operates within one of the most highly regulated environments in the world, where compliance with international standards is essential for ensuring the safety of vessels, the security of maritime operations, and the welfare of seafarers. Shipping companies, port facilities, offshore operators, and maritime authorities must continuously demonstrate conformity with the requirements of the International Safety Management (ISM) Code, the International Ship and Port Facility Security (ISPS) Code, and the Maritime Labour Convention (MLC 2006).

Effective auditing serves as a critical management tool for evaluating compliance, identifying gaps, improving organizational performance, and maintaining certification and regulatory approval. Maritime auditors play a vital role in ensuring that safety management systems, security arrangements, and labour practices are properly implemented and continuously improved in accordance with international standards.

The ISM / ISPS / MLC Auditor program, designed by Global Horizon Training Center, provides participants with comprehensive knowledge of maritime auditing principles, international regulatory requirements, audit planning methodologies, compliance verification processes, reporting techniques, and corrective action management. The program offers an integrated understanding of the three major maritime compliance frameworks and equips participants with the professional competencies necessary to perform effective audits across maritime organizations.

Through a structured five-day curriculum, participants will gain an in-depth understanding of the requirements, interpretation, and audit expectations related to ISM, ISPS, and MLC standards while enhancing their ability to support organizational compliance, operational excellence, and continuous improvement.

Objectives

By the end of this program, participants will be able to:

• Understand the structure and requirements of the ISM Code, ISPS Code, and MLC 2006.
• Explain the regulatory framework governing international maritime operations.
• Understand the principles and methodologies of maritime auditing.
• Interpret international maritime compliance requirements effectively.
• Evaluate organizational compliance with maritime safety, security, and labour standards.
• Understand audit planning, execution, reporting, and follow-up processes.
• Identify common non-conformities within maritime management systems.
• Review maritime documentation and records against regulatory requirements.
• Understand corrective and preventive action processes.
• Enhance organizational compliance monitoring and governance practices.
• Support continuous improvement initiatives within maritime organizations.
• Contribute to successful external inspections and certification audits.

Course Methodology

This program utilizes a professional instructor-led approach focused on theoretical knowledge transfer, regulatory interpretation, and auditing best practices.

Training methodologies include:

• Expert-led presentations and lectures.
• Detailed review of international maritime regulations.
• Structured discussions on compliance requirements.
• Analysis of regulatory frameworks and auditing principles.
• Examination of maritime audit documentation.
• Review of industry guidance and best practices.
• Group discussions on audit challenges and compliance expectations.
• Interactive question-and-answer sessions.
• Knowledge-sharing based on maritime auditing experience.
• Continuous concept reviews and professional discussions.

Organizational Impact

Organizations whose personnel attend this program will benefit from:

• Enhanced maritime compliance management.
• Improved internal audit capabilities.
• Stronger safety management systems.
• Improved maritime security governance.
• Enhanced labour compliance and crew welfare oversight.
• Better preparation for regulatory inspections.
• Reduced operational and compliance risks.
• Improved corrective action management.
• Greater confidence during certification and surveillance audits.
• Strengthened organizational governance and accountability.
• Enhanced reputation with regulators, customers, and stakeholders.
• Increased effectiveness of compliance monitoring programs.

Target Audience

This program is designed for:

• Maritime Auditors.
• Marine Superintendents.
• Fleet Managers.
• Safety Managers.
• Security Managers.
• Compliance Officers.
• Designated Persons Ashore (DPAs).
• Quality Assurance Personnel.
• Port Facility Security Officers (PFSOs).
• Ship Security Officers (SSOs).
• Marine Operations Managers.
• Vessel Masters and Senior Officers.
• Maritime Human Resources Professionals.
• Port Authority Personnel.
• Maritime Consultants.
• Regulatory Inspectors.
• Classification Society Representatives.
• Personnel responsible for maritime compliance and governance.

 Course Outline

Day 1

Maritime Regulatory Framework and Auditing Fundamentals

International Maritime Governance

• International Maritime Organization (IMO) structure and functions.

• International maritime conventions and regulatory framework.

• Responsibilities of flag administrations.

• Port State Control regimes.

• Classification societies and recognized organizations.

Maritime Compliance Environment

• Global maritime regulatory landscape.

• Compliance obligations for shipping companies.

• Regulatory oversight mechanisms.

• Maritime certification requirements.

• Consequences of non-compliance.

Fundamentals of Auditing

• Definition and objectives of audits.

• Types of audits within maritime organizations.

• First-party, second-party, and third-party audits.

• Audit principles and professional ethics.

• Auditor responsibilities and competencies.

Audit Management Concepts

• Audit planning fundamentals.

• Audit criteria and audit scope.

• Documentation requirements.

• Audit evidence principles.

• Audit reporting overview.

Overview of ISM, ISPS, and MLC

• Purpose and objectives of each framework.

• Relationship between safety, security, and labour compliance.

• Integrated maritime compliance systems.

• Industry trends and future regulatory developments.

Day 2

ISM Code Auditing Requirements

Introduction to the ISM Code

• Development and evolution of the ISM Code.

• Objectives and mandatory requirements.

• Safety culture within maritime organizations.

• Legal and operational implications.

Safety Management System (SMS)

• Structure of an SMS.

• Safety and environmental protection policies.

• Company responsibilities and authority.

• Designated Person Ashore (DPA) functions.

• Master's responsibilities and authority.

Operational Safety Requirements

• Risk management principles.

• Shipboard operations management.

• Maintenance and reliability requirements.

• Emergency preparedness systems.

• Incident reporting and investigation.

ISM Compliance Monitoring

• Internal verification systems.

• Management reviews.

• Continuous improvement requirements.

• Documentation control systems.

• Records management requirements.

ISM Audit Considerations

• Audit objectives and scope.

• Review of safety management documentation.

• Verification of compliance processes.

• Common audit findings.

• Corrective action expectations.

Day 3

ISPS Code Auditing Requirements

Introduction to Maritime Security

• Global maritime security environment.

• Security threats affecting maritime operations.

• Regulatory foundations of the ISPS Code.

• Security governance frameworks.

ISPS Code Structure

• Functional requirements of the ISPS Code.

• Security levels and implementation.

• Roles and responsibilities under the ISPS Code.

• Security communication requirements.

Ship Security Management

• Ship Security Assessments.

• Ship Security Plans.

• Ship Security Officer responsibilities.

• Security awareness and training requirements.

• Security incident reporting.

Port Facility Security Management

• Port Facility Security Assessments.

• Port Facility Security Plans.

• Port Facility Security Officer responsibilities.

• Access control and monitoring systems.

• Coordination between ships and port facilities.

ISPS Audit Requirements

• Security compliance verification.

• Documentation review requirements.

• Security records management.

• Common security non-conformities.

• Corrective and preventive actions.

Day 4

Maritime Labour Convention (MLC 2006) Auditing Requirements

Introduction to MLC 2006

• Historical development of the convention.

• Objectives and principles.

• Structure of the convention.

• Scope of application.

• Certification requirements.

Seafarers’ Employment Rights

• Employment agreements.

• Recruitment and placement standards.

• Wage protection requirements.

• Leave entitlements.

• Repatriation rights.

Working and Living Conditions

• Hours of work and rest.

• Accommodation requirements.

• Recreational facilities.

• Food and catering standards.

• Medical care requirements.

Occupational Health and Welfare

• Health and safety protection.

• Accident prevention systems.

• Welfare measures.

• Social security provisions.

• Crew complaint procedures.

MLC Audit Considerations

• Compliance verification processes.

• Documentation requirements.

• Inspection and certification requirements.

• Common deficiencies and observations.

• Corrective action management.

Day 5

Integrated Maritime Auditing and Compliance Management

Integrated Audit Management

• Combining ISM, ISPS, and MLC requirements.

• Integrated compliance frameworks.

• Coordinated audit planning principles.

• Governance and oversight responsibilities.

• Enterprise-wide compliance management.

Audit Reporting Requirements

• Audit report structure.

• Documentation of findings.

• Classification of non-conformities.

• Reporting observations and opportunities for improvement.

• Communication of audit results.

Corrective and Preventive Action Systems

• Root cause identification principles.

• Corrective action planning.

• Preventive action implementation.

• Verification and closure processes.

• Continuous monitoring requirements.

Management Review and Continuous Improvement

• Performance measurement systems.

• Compliance monitoring indicators.

• Internal review processes.

• Organizational learning and improvement.

• Regulatory readiness strategies.

Future Trends in Maritime Compliance

• Emerging maritime regulations.

• Digitalization of maritime compliance.

• ESG considerations within shipping operations.

• Cybersecurity implications for maritime management systems.

• Future developments in maritime auditing practices.