Introduction
This course objective is to develop the knowledge and skills required to conduct a full audit of an organization's Management System in the capacity of an Internal Auditor dedicated to the ISM and ISPS Codes plus MLC. It will also give them the confidence to effectively audit a Management system in accordance with internationally recognized best practice techniques.
Course Objectives of ISM- ISPS - MLC Internal Auditor
- Attract and retain customers by meeting their current and future needs
- Identify the aims and benefits of a combined audit ISM-ISPS-MLC
- Interpret requirements for audit application
- Plan, conduct, and follow-up auditing activities that add real value
- Access the latest auditor techniques and identify appropriate use
- Build stakeholder confidence by managing processes in line with the latest requirements
Learning Outcomes of ISM- ISPS - MLC Internal Auditor
A trainee successfully completing this course will be able to:
- Plan, conduct, report and follow up an ISM - ISPS - MLC audit
- Identify the purpose and benefits of a management system
- Explain the role and the responsibilities of the Internal Auditor
- Expand the audit principles in relation to ISM - ISPS - MLC and the verification for certification
Target Audience of ISM- ISPS - MLC Internal Auditor
- People involved in the internal audit process
- People who wish to become competent ISM - ISPS - MLC Internal Auditors
- Management Representatives
- Quality managers & Directors
- Consultants
- Designated Persons Ashore (DPAs or CSOs) and assistants
Course Outlınes of ISM- ISPS - MLC Internal Auditor
ISM Knowledge before audits
Company Verification, Review, and Evaluation
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ISM Code Requirements
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Review of Safety Management System (SMS)
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Internal Audits Intervals Key Issues
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Internal Audit? To what extent?
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Internal Audit, why?
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Internal audit before an External audit
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What about DPA and Audits
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Company & Ship’s SMS Comparison
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Persons Responsible for Audits
Verification Requirements
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ISM Code Requirements
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Verification by Administrations or Recognized Organizations (ROs)
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Effective enforcement by Administrations with Verification
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What Administrations should consider during verification
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Objective Evidence from facts and Records
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Tools for Verification/Certification should be
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Certification and verification activities
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Interim verification
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Initial Verification
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Annual verification of Document of Compliance
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Intermediate verification of Safety Management Certificates
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Renewal verification
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Additional Verification
Safety management audits
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Safety management audits overview
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Application for audit
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Preliminary review (Document review)
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Preparing the audit
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Executing the audit
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Preparing the audit report
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Corrective action follow-up
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Company responsibilities
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Responsibilities of the Organization (or Flag) performing certification
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Requirements for the Organization performing Certification
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Standards of competence for auditors
ISPS Knowledge before audits
General
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The definitions used in SOLAS XI-2 & ISPS Code Part A & B
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Kinds of Verification
Procedural Requirements for ISPS Code Audit
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Introduction
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Scope
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Main Definitions Elaboration
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ISPS Criteria for Verification
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Company Audit System and Obligations
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Company’s Audit/Inspections and Ship Security Plan/ Assessment
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Ship Audit/Inspection
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Non-Compliances, Corrective Actions, and Certification
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Opening and Closing Meetings
Tips for ISPS Internal Audit
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Key focus areas of security internal audits
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Control and compliance measures
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On-scene Security Survey
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Declaration of Security (DOS)
Case Studies
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Case Studies – ROs guidance
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Case Studies – additional guidance
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Ship Security Assessment deficiencies
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Ship Security Plan deficiencies
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MLC Knowledge before audits
MLC Application: Inspection & Certification
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MLC Application: Inspection & Certification
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MLC 2006 – What a Surveyor checks
MLC 2006 – Title 5 Compliance & Enforcement
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Steps to Certification
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Type of Certificates
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Declaration of Maritime Labor Compliance (DMLC Part I & II)
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MLC 2006 – Interim Certification
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MLC 2006 – Going to Initial Certification
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MLC 2006 – DMLC Part II more info
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MLC 2006 – Initial Inspection
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MLC 2006 – Initial Inspection Scope
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MLC 2006 – Intermediate Inspections
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MLC 2006 – MLC 2006 – Renewal Inspections
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MLC 2006 – Issuance Full Term Certificate
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Conclusion on Certification Steps
Self Assessment
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Self Assessment General Guidance
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Self Assessment title 1- A1.1
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Self Assessment title 1- A1.2
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Self Assessment Title 1 – A1.3
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Self Assessment Title 1 – A1.4
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Self Assessment Title 2 – A2.1
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Self Assessment Title 2 – A2.2
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Self Assessment Title 2 – A2.3
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Self Assessment Title 2 – A2.4
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Self Assessment Title 2 – A2.5
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Self Assessment Title 2 – A2.7
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Self Assessment Title 3 – A3.1
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Self Assessment Title 3 – A3.2
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Self Assessment Title 4 – A4.1
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Self Assessment Title 4 – A4.2
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Self Assessment Title 4 – A4.3
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Self Assessment Title 4 – A4.5
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Self Assessment Title 5 – A5.1.1/A5.1.5
MLC 2006 & ISM-STCW
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MLC 2006 & ISM Surveys
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MLC 2006 , ISM & STCW Comparison
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MLC 2006 & International Group of P & I
MoUs Campaign on MLC 2006
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PSC and MLC
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MoUs Campaign on MLC 2006
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MoUs Campaign on STCW 2010 Rest Hours
Overview
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What is an Audit?
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Why Audit?
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Tips to trained internal auditor
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Difference between Internal and Lead Auditor
Internal Audit
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Principles of auditing
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Scheduled and unscheduled Audits
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What to Audit – Technical Audit
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Steps involved in internal audit
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Scope of audit
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Frequency of audit
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Internal Audit process
Audit Steps
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Performing audit activities
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Audit Plan
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Developing Checklists
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Opening Meeting
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Conducting the Audit
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Recording Results
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Non-Conformities & Non-Compliances
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Closing Meeting (s)
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Audit Report
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Audit Follow-up Activities
Audit Programme
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Establishing the Audit program objectives
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Identifying and evaluating audit program risks
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Process flow for the management of an audit program
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Managing an audit program
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Audit program Implementation
Audit Tips & Techniques
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Tips to trained internal auditor
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Question Technique
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Competence of the audit program manager
Psychological factors during an audit
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Attitudes and relationships
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Obstacles & communication
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Space & Time issues
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Body language
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Cultural factors
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Principles of Listening & Auditing
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The Interview steps
Auditor’s Performance
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Auditor’s Quality
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The Auditors conduct
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Auditor’s Code of Conduct
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Auditor Characteristics
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Auditor's personal behavior
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The Auditee’s conduct
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Audit team leader skills
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How to evaluate an Auditor
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Maintaining & Improving Auditor’s Competence
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Auditor’s Competence IACS/RO Guidance
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Auditor’s Experience IACS/RO Guidance
