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.
A trainee successfully completing this course will be able to:
ISM Knowledge before audits
Company Verification, Review, and Evaluation
ISM Code Requirements
Review of Safety Management System (SMS)
Internal Audits Intervals Key Issues
Internal Audit? To what extent?
Internal Audit, why?
Internal audit before an External audit
What about DPA and Audits
Company & Ship’s SMS Comparison
Persons Responsible for Audits
Verification Requirements
ISM Code Requirements
Verification by Administrations or Recognized Organizations (ROs)
Effective enforcement by Administrations with Verification
What Administrations should consider during verification
Objective Evidence from facts and Records
Tools for Verification/Certification should be
Certification and verification activities
Interim verification
Initial Verification
Annual verification of Document of Compliance
Intermediate verification of Safety Management Certificates
Renewal verification
Additional Verification
Safety management audits
Safety management audits overview
Application for audit
Preliminary review (Document review)
Preparing the audit
Executing the audit
Preparing the audit report
Corrective action follow-up
Company responsibilities
Responsibilities of the Organization (or Flag) performing certification
Requirements for the Organization performing Certification
Standards of competence for auditors
ISPS Knowledge before audits
General
The definitions used in SOLAS XI-2 & ISPS Code Part A & B
Kinds of Verification
Procedural Requirements for ISPS Code Audit
Introduction
Scope
Main Definitions Elaboration
ISPS Criteria for Verification
Company Audit System and Obligations
Company’s Audit/Inspections and Ship Security Plan/ Assessment
Ship Audit/Inspection
Non-Compliances, Corrective Actions, and Certification
Opening and Closing Meetings
Tips for ISPS Internal Audit
Key focus areas of security internal audits
Control and compliance measures
On-scene Security Survey
Declaration of Security (DOS)
Case Studies
Case Studies – ROs guidance
Case Studies – additional guidance
Ship Security Assessment deficiencies
Ship Security Plan deficiencies
MLC Knowledge before audits
MLC Application: Inspection & Certification
MLC Application: Inspection & Certification
MLC 2006 – What a Surveyor checks
MLC 2006 – Title 5 Compliance & Enforcement
Steps to Certification
Type of Certificates
Declaration of Maritime Labor Compliance (DMLC Part I & II)
MLC 2006 – Interim Certification
MLC 2006 – Going to Initial Certification
MLC 2006 – DMLC Part II more info
MLC 2006 – Initial Inspection
MLC 2006 – Initial Inspection Scope
MLC 2006 – Intermediate Inspections
MLC 2006 – MLC 2006 – Renewal Inspections
MLC 2006 – Issuance Full Term Certificate
Conclusion on Certification Steps
Self Assessment
Self Assessment General Guidance
Self Assessment title 1- A1.1
Self Assessment title 1- A1.2
Self Assessment Title 1 – A1.3
Self Assessment Title 1 – A1.4
Self Assessment Title 2 – A2.1
Self Assessment Title 2 – A2.2
Self Assessment Title 2 – A2.3
Self Assessment Title 2 – A2.4
Self Assessment Title 2 – A2.5
Self Assessment Title 2 – A2.7
Self Assessment Title 3 – A3.1
Self Assessment Title 3 – A3.2
Self Assessment Title 4 – A4.1
Self Assessment Title 4 – A4.2
Self Assessment Title 4 – A4.3
Self Assessment Title 4 – A4.5
Self Assessment Title 5 – A5.1.1/A5.1.5
MLC 2006 & ISM-STCW
MLC 2006 & ISM Surveys
MLC 2006 , ISM & STCW Comparison
MLC 2006 & International Group of P & I
MoUs Campaign on MLC 2006
PSC and MLC
MoUs Campaign on MLC 2006
MoUs Campaign on STCW 2010 Rest Hours
Overview
What is an Audit?
Why Audit?
Tips to trained internal auditor
Difference between Internal and Lead Auditor
Internal Audit
Principles of auditing
Scheduled and unscheduled Audits
What to Audit – Technical Audit
Steps involved in internal audit
Scope of audit
Frequency of audit
Internal Audit process
Audit Steps
Performing audit activities
Audit Plan
Developing Checklists
Opening Meeting
Conducting the Audit
Recording Results
Non-Conformities & Non-Compliances
Closing Meeting (s)
Audit Report
Audit Follow-up Activities
Audit Programme
Establishing the Audit program objectives
Identifying and evaluating audit program risks
Process flow for the management of an audit program
Managing an audit program
Audit program Implementation
Audit Tips & Techniques
Tips to trained internal auditor
Question Technique
Competence of the audit program manager
Psychological factors during an audit
Attitudes and relationships
Obstacles & communication
Space & Time issues
Body language
Cultural factors
Principles of Listening & Auditing
The Interview steps
Auditor’s Performance
Auditor’s Quality
The Auditors conduct
Auditor’s Code of Conduct
Auditor Characteristics
Auditor's personal behavior
The Auditee’s conduct
Audit team leader skills
How to evaluate an Auditor
Maintaining & Improving Auditor’s Competence
Auditor’s Competence IACS/RO Guidance
Auditor’s Experience IACS/RO Guidance